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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
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F. Representative Orders
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H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
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11/15/2018
FAQ
D9.
For orders received electronically from another CAT Reporter, must the the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?
Topics
D. Order Receipt
11/15/2018
FAQ
D11.
What is the purpose of the tradingSession field?
Topics
D. Order Receipt
11/15/2018
FAQ
D17.
How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?
Topics
D. Order Receipt
11/15/2018
FAQ
D18.
Is the tradingSession field required to be populated for proprietary orders originated by the firm and where no customer instruction is received?
Topics
D. Order Receipt
11/15/2018
FAQ
D19.
How should the timeInForce field be populated for "Fill or Kill" orders that contain a limit price?
Topics
D. Order Receipt
11/15/2018
FAQ
D22.
What is the purpose of the infoBarrierID field and how should it be used?
Topics
D. Order Receipt
11/15/2018
FAQ
E4.
Are orders routed using ACES Pass-Thru considered manual or electronic?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E6.
If a .RA transaction represents an event that is CAT reportable is the transaction report submitted to a FINRA trade reporting system with a .RA modifier required to be matched to the related CAT Trade Event?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E12.
At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E15.
Are executions of orders routed as agent to an exchange or another CAT Reporter required to be reported by the routing firm?
Topics
E. Order Routing and Execution
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