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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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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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11/15/2018
FAQ
B24. Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?

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B. Reporting Requirements
11/15/2018
FAQ
B31. Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?

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B. Reporting Requirements
11/15/2018
FAQ
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?

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B. Reporting Requirements
09/11/2018
FAQ
B10. How should Industry Members report transactions involving fractional shares to the CAT?

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B. Reporting Requirements
03/21/2018
FAQ
B1. Are market maker quotes required to be reported to the CAT?

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B. Reporting Requirements
03/13/2018
FAQ
B6. Are CAT Reporters required to report to the CAT quotes received via subscriptions to receive market data from market data vendors (such as exchanges or market data aggregators)?

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B. Reporting Requirements
02/13/2018
FAQ
B4. Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?

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B. Reporting Requirements
Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

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B. Reporting Requirements

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

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B. Reporting Requirements

P. Feedback and Error Correction

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