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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
04:15PM EST
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All Topics
A. General
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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
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R. Clock Synchronization
S. Security
T. Production Readiness Testing
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03/19/2020
Announcement
Plan Participant's Request for No Action Relief
Topics
A. General
03/18/2020
Event
Weekly Industry Testing Checkpoint Call (3/17/2020)
Weekly Industry Testing Checkpoint Call (3/17/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
03/17/2020
Announcement
No Action Letter
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter
Topics
A. General
03/12/2020
FAQ
M15.
What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?
Topics
M. Firm Designated ID
03/12/2020
FAQ
K13.
If an Industry Member manually initiates a proprietary order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
Topics
K. Options
03/12/2020
FAQ
S4.
What is the CAT?
Topics
S. Security
03/12/2020
FAQ
S5.
What type of information is in the CAT?
Topics
S. Security
03/12/2020
FAQ
S6.
What is Customer Account Information and Customer Identifying Information?
Topics
S. Security
03/12/2020
FAQ
S7.
How does the CAT protect social security numbers?
Topics
S. Security
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