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Displaying 1331 - 1340 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

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06/18/2019
FAQ
E14. Firm A routes an order to Firm B with instructions to send the order to another member or exchange for execution with specific terms and conditions that the executing venue must follow. Must Firm B report the terms and conditions intended for the executing venue as handling instructions on Firm B’s CAT Order Accepted Event in the handlingInstructions field?

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E. Order Routing and Execution
06/18/2019
Announcement
Annual Clock Synchronization Certification

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R. Clock Synchronization
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
- Options Deep Dive 6/4/19 New York
Audio file

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K. Options
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
- Options Deep Dive San Francisco 6/11/2019
Audio file

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K. Options
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
- Options Deep Dive 5/15/2019
Audio file

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K. Options
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
- IM Tech Spec Updates
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
05/10/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.1
05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0

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