Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
Topics
A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics
Year
- Any -
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
- Any -
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
Topics
A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics
Year
- Any -
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
- Any -
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
May
15
Monthly CAT Update (May 15, 2025)
04:15PM EDT
Add To My Calendar
Displaying 1231 - 1240 of 1494 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
Filter by Topic
All Topics
A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
Sort by
Core Official Date
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
Sort by Newest First
11/15/2018
FAQ
B20.
What are the CAT reporting obligations when providing sponsored access or direct market access to non-BD clients?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B22.
What are the CAT reporting obligations when one Industry Member provides sponsored access to another Industry Member?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B24.
Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B25.
What are the CAT reporting requirements for a proprietary trading firm?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B26.
Does a CRD Number qualify as an SRO assigned identifier that can be used as an IMID in cases where a non FINRA member does not have an SRO assigned identifier?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B29.
How should an order be identified when the broker (as opposed to the trader) has price and time discretion?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B31.
Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B32.
How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
Topics
B. Reporting Requirements
11/15/2018
FAQ
B33.
How should a fractional number of shares as leavesQty be reported?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B34.
An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
Topics
B. Reporting Requirements
Pagination
«
« First
‹
‹ Previous
…
120
121
122
123
124
125
126
127
128
…
›
Next ›
»
Last »
Back to top