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Content type

Topics

Year

B. Reporting Requirements

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

UPCOMING EVENT

Oct

19

Monthly CAT Update (October 19, 2023)

04:15PM EDT

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Displaying 1 - 10 of 321 results

09/28/2023
Event
CAT Billing Webinar
- CAT Billing Webinar - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/11/2023
FAQ
B43. Are verbal and manual quotes subject to the reporting requirements of Phases 2a, 2b, 2c or 2d?

Topics

B. Reporting Requirements
09/11/2023
FAQ
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?

Topics

B. Reporting Requirements
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
- CAT Technical Specifications Working Group (August 15, 2023) - Presentation
Audio file

Topics

B. Reporting Requirements
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024

Topics

B. Reporting Requirements

Q. Customer and Account Information
07/05/2023
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.7

Topics

B. Reporting Requirements

E. Order Routing and Execution
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
- Monthly CAT Update (June 15, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/30/2023
Announcement
2/1/2023 This Announcement Has Been Superseded

Topics

B. Reporting Requirements

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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
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
All Topics