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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 1261 - 1270 of 1453 results
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A. General
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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
W. Fee Dispute Resolution
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04/18/2018
FAQ
D2.
Are Industry Members required to report the receipt of an order to the CAT if the Industry Member rejects the order?
Topics
D. Order Receipt
04/18/2018
FAQ
D3.
How would an Industry Member determine the time of order receipt?
Topics
D. Order Receipt
03/28/2018
Event
Industry Update on the Consolidated Audit Trail (3/28/18)
CAT Industry Webcast 3/28/2018 - Presentation
Audio file
Topics
A. General
03/21/2018
FAQ
A3.
Does the industry have a role in the management of the CAT?
Topics
A. General
03/21/2018
FAQ
A12.
Will CAT Reporters have access to their own submitted data?
Topics
A. General
03/21/2018
FAQ
A13.
Will SIP and OPRA data be included in the CAT?
Topics
A. General
03/21/2018
FAQ
A14.
Will CAT tie the audit trail data to clearing data?
Topics
A. General
03/21/2018
FAQ
A15.
How will the SEC and Participants access the CAT Data for regulatory purposes?
Topics
A. General
03/21/2018
FAQ
A16.
What are the requirements for accessing historical CAT Data?
Topics
A. General
03/21/2018
FAQ
A17.
How many regulatory users are expected to access CAT Data?
Topics
A. General
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