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Displaying 211 - 220 of 1487 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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10/12/2023
FAQ
V3. How is “CAT Executing Broker” defined for CAT billing purposes?

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V. CAT Billing
10/12/2023
FAQ
V5. How is “executed equivalent shares” defined?

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V. CAT Billing
10/12/2023
FAQ
V7. How is the Historical Fee Rate for Historical CAT Assessments calculated?

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V. CAT Billing
10/12/2023
FAQ
V8. How is the Fee Rate for CAT Fees related to Prospective CAT Costs calculated?

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V. CAT Billing
10/12/2023
FAQ
V9. Will there be adjustments for trades that are cancelled or corrected?

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V. CAT Billing
10/12/2023
FAQ
V11. Is there a de minimis fee where an Industry Member would not receive an invoice?

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V. CAT Billing
10/12/2023
FAQ
V14. What should a firm do if payment was submitted but is not reflected on the CAT Reporter Portal?

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V. CAT Billing
10/12/2023
FAQ
V15. How are questions related to CAT invoices handled?

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V. CAT Billing
10/12/2023
FAQ
V16. Are trade details related to the CAT invoice available?

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V. CAT Billing
10/12/2023
FAQ
V17. How do I access the CAT invoice?

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V. CAT Billing

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