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A. General

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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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Order

11/15/2018
FAQ
N2. If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?

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N. Third Party Reporting
11/15/2018
FAQ
N3. May an Industry Member use more than one third party to transmit data on its behalf to CAT?

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N. Third Party Reporting
11/15/2018
FAQ
N4. Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?

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N. Third Party Reporting
11/15/2018
FAQ
H2. Must a FINRA member ATS use its ATS MPID to report ATS activity to CAT?

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H. ATS
11/15/2018
FAQ
H6. How should an ATS report NBBO (or other relevant reference price) information if the NBBO is invalid or one sided at the time the ATS referenced the NBBO (or other relevant reference price)?

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H. ATS
11/15/2018
FAQ
H7. Is the handlingInstructions field required to be populated by ATSs when the atsOrder Type includes a condition that is also an allowable handlingInstruction value, such as Add Liquidity Only?

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H. ATS
11/15/2018
FAQ
G2. Are orders received via the telephone and then manually entered into a clearing firm's system considered electronic?

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G. Manual Orders
11/15/2018
FAQ
G3. What does the manualFlag field represent?

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G. Manual Orders
11/15/2018
FAQ
D9. For orders received electronically from another CAT Reporter, must the the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?

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D. Order Receipt
11/15/2018
FAQ
D11. What is the purpose of the tradingSession field?

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D. Order Receipt

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