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UPCOMING EVENT
Apr
17
Monthly CAT Update (April 17, 2025)
04:15PM EDT
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A. General
B. Reporting Requirements
C. Definitions
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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
U. Allocations
V. CAT Billing
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11/15/2018
FAQ
H2.
Must a FINRA member ATS use its ATS MPID to report ATS activity to CAT?
Topics
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)?
Topics
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?
Topics
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?
Topics
G. Manual Orders
11/15/2018
FAQ
G3.
What does the manualFlag field represent?
Topics
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?
Topics
D. Order Receipt
11/15/2018
FAQ
D11.
What is the purpose of the tradingSession field?
Topics
D. Order Receipt
11/15/2018
FAQ
D17.
How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?
Topics
D. Order Receipt
11/15/2018
FAQ
D18.
Is the tradingSession field required to be populated for proprietary orders originated by the firm and where no customer instruction is received?
Topics
D. Order Receipt
11/15/2018
FAQ
D19.
How should the timeInForce field be populated for "Fill or Kill" orders that contain a limit price?
Topics
D. Order Receipt
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