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B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

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All Topics

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

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Order

03/02/2023
Event
Monthly CAT Update (April 20, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/28/2023
FAQ
B77. What are the CAT reporting obligations when a security is the subject of a corporate action (e.g. merger/acquisition) and is now a different security but trades under the same issue symbol and the customer/client wants to trade the new security?

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B. Reporting Requirements
02/28/2023
FAQ
B74. Is an Order Cancelled event (“MEOC”) required for Good till Cancelled (“GTC”) orders if an issue symbol is delisted?

Topics

B. Reporting Requirements
02/24/2023
Event
Monthly CAT Update (February 23, 2023)
- Monthly CAT Update (February 23, 2023) - Presentation
- Processing Changes to the Transaction Report Card - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/21/2023
Event
Monthly CAT Update (March 23, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/01/2023
Announcement
2/1/2023 CAIS Compliance Date Update

Topics

B. Reporting Requirements
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/20/2022
Event
CAT Technical Specifications Working Group - December 20, 2022
- CAT Technical Specifications Working Group (December 20, 2022) - Presentation
Audio file

Topics

B. Reporting Requirements

M. Firm Designated ID

Q. Customer and Account Information
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
- Monthly CAT Update (December 15, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/07/2022
FAQ
B47. Order Internal Route Modified events are not required to be reported to CAT until Phase 2c. In Phase 2a, what orderID should be populated on events subsequent to the internal route modification (e.g., MEOR, MEOT)?

Topics

B. Reporting Requirements

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