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Displaying 601 - 610 of 1455 results

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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

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06/04/2021
Timeline Activity
Small Industry Members and their CAT Reporting Agents must complete production readiness testing for 2a, 2b, 2c and 2d reporting
06/02/2021
FAQ
U28. If an Industry Member aggregates shares from separate orders when booking equity shares back to the same customer account, how should the side field be populated in the Post Trade Allocation event (MEPA) if the underlying transactions included both short and long sales?

Topics

U. Allocations
06/02/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r3
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r6
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0
05/29/2021
Announcement
2020 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC

Topics

A. General
05/25/2021
Event
Industry Testing Checkpoint Call (May 25, 2021)
- Industry Testing Checkpoint Call (5/25/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12 (Redlined)

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B. Reporting Requirements
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
- Monthly CAT Implementation Update (5/20/21)- Presentation
- OATS Retirement Status Update (5/20/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3

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B. Reporting Requirements

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