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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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09/21/2021
FAQ
B5. Are all Industry Members required to report NBBO information to the CAT?

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B. Reporting Requirements
09/21/2021
FAQ
I1. Are orders in foreign securities reportable?

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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?

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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?

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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"?

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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?

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D. Order Receipt
09/21/2021
FAQ
B53. Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?

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B. Reporting Requirements
09/21/2021
FAQ
I9. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?

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I. Foreign Securities
09/21/2021
FAQ
U22. What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?

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U. Allocations
09/21/2021
Event
CAT Costs (September 21, 2021)
- CAT Costs (September 21, 2021) - Presentation
Audio file

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A. General

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