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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
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
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Sep
19
Monthly CAT Update (September 19, 2024)
04:15PM EDT
Add To My Calendar
Displaying 1241 - 1250 of 1419 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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
03/21/2018
FAQ
A15.
How will the SEC and Participants access the CAT Data for regulatory purposes?
Topics
A. General
03/21/2018
FAQ
A16.
What are the requirements for accessing historical CAT Data?
Topics
A. General
03/21/2018
FAQ
A17.
How many regulatory users are expected to access CAT Data?
Topics
A. General
03/21/2018
FAQ
A18.
Will the CAT provide the regulators with access to uncorrected data for surveillance?
Topics
A. General
03/21/2018
FAQ
A20.
Will there be third-party auditing requirements to make sure the CAT is working properly?
Topics
A. General
03/21/2018
FAQ
B1.
Are market maker quotes required to be reported to the CAT?
Topics
B. Reporting Requirements
03/21/2018
FAQ
S1.
What steps are being taken to ensure that the CAT is secure given heightened cybersecurity concerns?
Topics
S. Security
03/21/2018
FAQ
S2.
Will the CAT be required to satisfy the requirements of Reg SCI?
Topics
S. Security
03/21/2018
FAQ
R1.
What are the CAT clock synchronization standards for CAT Reporters?
Topics
R. Clock Synchronization
03/21/2018
FAQ
Q1.
What customer information must Industry Members report to the CAT?
Topics
Q. Customer and Account Information
Pagination
«
« First
‹
‹ Previous
…
121
122
123
124
125
126
127
128
129
…
›
Next ›
»
Last »