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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
04:15PM EST
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Displaying 511 - 520 of 1455 results
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A. General
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H. ATS
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J. OTC Equity Securities
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L. Equity Floor Brokers
M. Firm Designated ID
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O. Technical Requirements
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09/23/2021
Event
CAT Funding (September 22, 2021)
CAT Funding (September 22, 2021) - Presentation
Audio file
Topics
A. General
09/21/2021
FAQ
A19.
Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?
Topics
A. General
09/21/2021
FAQ
B3.
Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?
Topics
B. Reporting Requirements
09/21/2021
FAQ
B5.
Are all Industry Members required to report NBBO information to the CAT?
Topics
B. Reporting Requirements
09/21/2021
FAQ
I1.
Are orders in foreign securities reportable?
Topics
I. Foreign Securities
09/21/2021
FAQ
K2.
What Industry Member Data will be reportable to the CAT during Phase 2b of the revised implementation schedule?
Topics
K. Options
09/21/2021
FAQ
F2.
When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
Topics
F. Representative Orders
09/21/2021
FAQ
E1.
When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
Topics
E. Order Routing and Execution
09/21/2021
FAQ
D23.
How should the accountHolderType be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? Should the accountHolderType represent the status of the IA/money manager or the status of the IA/money manager’s client?
Topics
D. Order Receipt
09/21/2021
FAQ
B53.
Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?
Topics
B. Reporting Requirements
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