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A. General

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Displaying 761 - 770 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

08/27/2020
FAQ
E5. This FAQ has been retired. Please refer to FAQ E2.

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E. Order Routing and Execution
08/27/2020
FAQ
I6. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the customer directs that the order only be executed in a foreign market, is this type of directed order required to be reported if the order is not executed by the end of the CAT Trading day?

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I. Foreign Securities
08/27/2020
FAQ
I7. If an order is received under the US symbol of a foreign security that is an OTC equity security and the firm decides to send the order to a foreign market to be executed and reported, but the order ultimately gets executed in the US, does the firm have a CAT reporting obligation?

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I. Foreign Securities
08/27/2020
FAQ
U13. Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?

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U. Allocations
08/27/2020
FAQ
U15. Are Allocation Reports required to be reported for both purchases and sales?

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U. Allocations
08/27/2020
FAQ
Q22. If an account does not have an account holder or authorized trader with an LTID or ULTID, but has other individuals or entities with an LTID or ULTID that may have some other relationship to the account, must that account be reported in the LTID Phase of CAIS?

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Q. Customer and Account Information
08/27/2020
FAQ
Q23. Do introducing and non-self-clearing executing brokers have CAIS LTID reporting obligations?

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Q. Customer and Account Information
08/27/2020
FAQ
Q24. Do Reporting Agents need to certify separately from the BDs they are supporting?

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Q. Customer and Account Information
08/27/2020
FAQ
Q25. If my firm is a broker-dealer (CRD) that uses a Reporting Agent to report into CAT CAIS, does my firm need to certify separately if we have CAIS-reportable activity?

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Q. Customer and Account Information
08/27/2020
FAQ
Q29. Do proprietary trading firms that do not handle customer orders have an obligation to report to CAT CAIS?

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Q. Customer and Account Information

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