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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

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11/15/2018
FAQ
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?

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B. Reporting Requirements
11/15/2018
FAQ
B15. Does the CAT NMS Plan supersede Rule 17a-3?

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B. Reporting Requirements
11/15/2018
FAQ
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?

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B. Reporting Requirements
11/15/2018
FAQ
B17. Is CAT data required to be maintained in a format that could be resubmitted to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B18. What are the reporting requirements for orders received or initiated by a market maker?

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B. Reporting Requirements
11/15/2018
FAQ
B19. Is a Cancel Report required for an unexecuted IOC (Immediate or Cancel) or FOK (Fill or Kill)?

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B. Reporting Requirements
11/15/2018
FAQ
B20. What are the CAT reporting obligations when providing sponsored access or direct market access to non-BD clients?

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B. Reporting Requirements
11/15/2018
FAQ
B22. What are the CAT reporting obligations when one Industry Member provides sponsored access to another Industry Member?

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B. Reporting Requirements
11/15/2018
FAQ
B24. Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?

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B. Reporting Requirements
11/15/2018
FAQ
B25. What are the CAT reporting requirements for a proprietary trading firm?

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B. Reporting Requirements

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