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Displaying 1301 - 1310 of 1455 results
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All Topics
A. General
B. Reporting Requirements
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F. Representative Orders
G. Manual Orders
H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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R. Clock Synchronization
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02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
Topics
A. General
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission
Topics
A. General
09/02/2015
FAQ
Q2.
Are CAT Reporters required to report Customer-IDs to the CAT?
Topics
Q. Customer and Account Information
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
Topics
A. General
Q. Customer and Account Information
09/02/2015
Governance
Approval Order of Exemptive Request Letter
Topics
A. General
M. Firm Designated ID
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
Topics
A. General
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
Topics
A. General
M. Firm Designated ID
01/30/2015
FAQ
Q5.
What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
Topics
Q. Customer and Account Information
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
Topics
A. General
M. Firm Designated ID
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
Topics
A. General
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