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E. Order Routing and Execution
This topic includes information and reporting requirements related to order routing and execution.
Displaying 31 - 37 of 37 results
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A. General
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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
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11/15/2018
FAQ
E6.
If a .RA transaction represents an event that is CAT reportable is the transaction report submitted to a FINRA trade reporting system with a .RA modifier required to be matched to the related CAT Trade Event?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E15.
Are executions of orders routed as agent to an exchange or another CAT Reporter required to be reported by the routing firm?
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E. Order Routing and Execution
11/15/2018
FAQ
E21.
If a trade is corrected in a TRF, what must be reported to CAT?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E12.
At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?
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E. Order Routing and Execution
11/15/2018
FAQ
E11.
At 8:30:00:000 a.m., BD1 receives a market-on-open customer order and guarantees the opening price. At 9:30:00.000 a.m., the market opens, and, at 9:35:00.000 a.m., BD1 receives the opening price information and executes the trade. What execution time should be used in the CAT Trade Event and related trade report?
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E. Order Routing and Execution
11/15/2018
FAQ
E20.
What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?
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E. Order Routing and Execution
11/15/2018
FAQ
E4.
Are orders routed using ACES Pass-Thru considered manual or electronic?
Topics
E. Order Routing and Execution
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