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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

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T. Production Readiness Testing

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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.

Displaying 351 - 358 of 358 results

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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

V. CAT Billing

W. Fee Dispute Resolution

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Order

Timeline Activity
Technical Specifications Published for Options Phase 2d

Topics

B. Reporting Requirements
Event
Industry Testing Checkpoint Call (3/2/2021)
- Industry Testing Checkpoint Call (3/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0

Topics

B. Reporting Requirements

O. Technical Requirements
Event
Daily Industry Testing Checkpoint Call (6/22/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/19/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Weekly Industry Checkpoint Call (3/24/2020)
- Weekly Industry Testing Checkpoint Call (3/24/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/26/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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