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Displaying 21 - 30 of 1611 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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05/07/2026
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
Topics
H. ATS
05/06/2026
Technical Specifications
2026 Industry Member Releases (Transaction) - Scope and Schedule
05/05/2026
FAQ
T7.
This FAQ has been retired and archived.
Topics
T. Production Readiness Testing
05/05/2026
FAQ
M16.
This FAQ has been retired and archived.
Topics
M. Firm Designated ID
05/05/2026
FAQ
M8.
This FAQ has been retired and archived.
Topics
M. Firm Designated ID
05/05/2026
FAQ
M17.
This FAQ has been retired and archived. Please refer to FAQ M1.
Topics
M. Firm Designated ID
05/05/2026
FAQ
M7.
This FAQ has been retired and archived. Please refer to FAQ M1.
Topics
M. Firm Designated ID
05/05/2026
FAQ
M3.
This FAQ has been retired and archived. Please refer to FAQ M1.
Topics
M. Firm Designated ID
05/05/2026
FAQ
X12.
If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database?
Topics
X. Reference Database
05/05/2026
FAQ
X11.
What CAT Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
Topics
X. Reference Database
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