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A. General

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Displaying 721 - 730 of 1358 results

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All Topics

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

10/07/2020
FAQ
U2. What is an Allocation Report and who is required to report it?

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U. Allocations
10/06/2020
FAQ
F3. How does a CAT Reporter determine the manner in which an agency order filled on an average price basis should be reported? More specifically, when should an Order Fulfillment (as reflected in Scenario 2.3.4 Fill of a Single Customer Order on an Average Price Basis in the CAT Industry Member Reporting Scenarios document) be used instead of Route Reports?

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F. Representative Orders
10/06/2020
Event
Weekly Industry Testing Checkpoint Call (10/6/2020)
- Weekly Industry Testing Checkpoint Call (10/6/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
10/06/2020
FAQ
E31. If an Industry Member routes an order to another Industry Member or exchange and it is rejected because a data element was malformed and the message was unable to be read or parsed, is the Industry Member required to report the related order events to CAT given that they might reject (for example, for a malformed symbol or optionID that is not on the CAT Reportable Equity/Options Securities Symbol Master list)?

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E. Order Routing and Execution
09/30/2020
Technical Specifications
Industry Member Test Environment Known Issues List (9/29/20)
09/30/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/30/2020
Event
Weekly Industry Testing Checkpoint Call (9/29/2020)
- Weekly Industry Testing Checkpoint Call (9/29/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
09/29/2020
Event
TRF Linkage Industry Webinar (9/29/20)
- TRF Linkage Industry Webinar (9/29/20)- Presentation
Audio file

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B. Reporting Requirements

E. Order Routing and Execution

P. Feedback and Error Correction
09/25/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2
09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)
- Phase 2c Industry Webinar (9/23/20)- Presentation
Audio file

Topics

B. Reporting Requirements

U. Allocations

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