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Displaying 1341 - 1350 of 1646 results

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A. General

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C. Definitions

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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

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06/18/2019
FAQ
A22. Can Small Industry Members that are not OATS Reporting Members (“Small Industry Non-OATs Reporters”) voluntarily report to the CAT prior to December 2021?

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A. General
06/18/2019
FAQ
O7. Where can information on obtaining entitlement to CAT be found?

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O. Technical Requirements
06/18/2019
FAQ
O9. Where can information on obtaining access to the private network for reporting to CAT be found?

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O. Technical Requirements
06/18/2019
FAQ
O11. Who do I contact if I need to change the configuration of my connection to the private network?

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O. Technical Requirements
06/18/2019
FAQ
K4. Are option assignments required to be reported to CAT?

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K. Options
06/18/2019
FAQ
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?

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J. OTC Equity Securities
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
- Options Deep Dive 6/4/19 New York
Audio file

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K. Options
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
- Options Deep Dive San Francisco 6/11/2019
Audio file

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K. Options
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2

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