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UPCOMING EVENT
Apr
17
Monthly CAT Update (April 17, 2025)
04:15PM EDT
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All Topics
A. General
B. Reporting Requirements
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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
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R. Clock Synchronization
S. Security
T. Production Readiness Testing
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V. CAT Billing
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11/15/2018
FAQ
P14.
If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P15.
What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
O6.
Are back-up circuits required for reporting to CAT via SFTP?
Topics
O. Technical Requirements
11/15/2018
FAQ
O8.
What are the Web addresses used to transfer CAT data?
Topics
O. Technical Requirements
11/15/2018
FAQ
O10.
Can files be sent to CAT using SFTP via the Internet?
Topics
O. Technical Requirements
11/15/2018
FAQ
O12.
Can records submitted via the CAT Web Portal be saved?
Topics
O. Technical Requirements
11/15/2018
FAQ
O13.
Where can the status of the CAT system be found?
Topics
O. Technical Requirements
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?
Topics
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?
Topics
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?
Topics
N. Third Party Reporting
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