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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

V. CAT Billing

W. Fee Dispute Resolution

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12/08/2021
Technical Specifications
Industry Member Reporting Scenarios v4.8

Topics

B. Reporting Requirements
12/08/2021
Event
Industry Testing Checkpoint Call (December 7, 2021)
- Industry Testing Checkpoint Call (December 7, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/07/2021
FAQ
B76. Are Industry Members required to report Route Cancelled events to CAT for “mass cancels” initiated by a single instruction given to an execution venue?

Topics

B. Reporting Requirements
12/07/2021
CAT Alert
CAT Alert 2021-03-Phase 2d: Transitioning from Phase 2c and Coordinated Industry Tests

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/01/2021
Event
Industry Testing Checkpoint Call (November 30, 2021)
- Industry Testing Checkpoint Call (November 30, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/30/2021
FAQ
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?

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B. Reporting Requirements
11/24/2021
Technical Specifications
Transition Support: Schema Changes to Existing Phase 2c Events v1.3

Topics

B. Reporting Requirements
11/23/2021
Event
Industry Testing Checkpoint Call (November 23, 2021)
- Industry Testing Checkpoint Call (November 23, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/19/2021
Event
Monthly CAT Implementation Update (November 18, 2021)
- Monthly CAT Implementation Update (November 18, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2021
Event
Industry Testing Checkpoint Call (November 16, 2021)
- Industry Testing Checkpoint Call (November 16, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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