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UPCOMING EVENT
Apr
18
Monthly CAT Update (April 18, 2024)
04:15PM EDT
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A. General
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H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
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09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
Weekly Industry Testing Checkpoint Call (9/1/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
09/01/2020
Reference Material
Industry Member Reporting Scenarios v3.5
09/01/2020
Technical Specifications
Industry Member Reporting Scenarios v2.8
08/31/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1 r1
08/27/2020
FAQ
I3.
If an order in a foreign security that is an OTC Equity Security is broken up and executed across multiple markets, i.e., part of the order is executed in the US and part of the order is executed and reported in the foreign market, what are the CAT reporting obligations?
Topics
I. Foreign Securities
08/27/2020
FAQ
E5.
This FAQ has been retired. Please refer to FAQ E2.
Topics
E. Order Routing and Execution
08/27/2020
FAQ
I6.
If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the customer directs that the order only be executed in a foreign market, is this type of directed order required to be reported if the order is not executed by the end of the CAT Trading day?
Topics
I. Foreign Securities
08/27/2020
FAQ
I7.
If an order is received under the US symbol of a foreign security that is an OTC equity security and the firm decides to send the order to a foreign market to be executed and reported, but the order ultimately gets executed in the US, does the firm have a CAT reporting obligation?
Topics
I. Foreign Securities
08/27/2020
FAQ
U13.
Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
Topics
U. Allocations
08/27/2020
FAQ
U15.
Are Allocation Reports required to be reported for both purchases and sales?
Topics
U. Allocations
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