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Displaying 1321 - 1330 of 1634 results
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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
W. Fee Dispute Resolution
X. Reference Database
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06/18/2019
FAQ
J1.
Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?
Topics
J. OTC Equity Securities
06/18/2019
FAQ
H3.
What should be populated in the "nbboTimestamp" fields on the New Order, Order Accept, Child Order, Child Order Modified, Order Modified, Order Adjusted and Trade Events for ATSs?
Topics
H. ATS
06/18/2019
FAQ
D6.
Should accounts belonging to family members of an employee of an Industry Member CAT Reporter be reported with the accountHolderType Code "E"?
Topics
D. Order Receipt
06/18/2019
FAQ
D7.
Should accountHolderType Code "E" be used for orders received from former or retired employees or employees of other broker-dealers?
Topics
D. Order Receipt
06/18/2019
FAQ
D8.
Should accountHolderType "E" be used if a registered representative has discretion over a customer account?
Topics
D. Order Receipt
06/18/2019
FAQ
D20.
Why is there not an allowable value of unknown (U) for the accountHolderType Code field on New Order Events (MENO)?
Topics
D. Order Receipt
06/18/2019
FAQ
D21.
What accountHolderType value should be used if the beneficial owner of an account for which an order is received is an employee but the account also meets the definition of an institutional account?
Topics
D. Order Receipt
06/18/2019
FAQ
D25.
How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
Topics
D. Order Receipt
06/18/2019
FAQ
E24.
Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?
Topics
E. Order Routing and Execution
06/18/2019
FAQ
D5.
BD A, an Industry Member CAT Reporter receives 10 separate and distinct customer orders that together total 10,000 shares. A registered representative of BD A sends a single 10,000 share order to the trading desk. What are the CAT reporting obligations for BD A?
Topics
D. Order Receipt
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