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E. Order Routing and Execution
This topic includes information and reporting requirements related to order routing and execution.
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L. Equity Floor Brokers
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07/28/2020
FAQ
E30.
Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this apply if the trade is reversed in the FINRA Facility on a subsequent day?
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E3.
BD A, an Industry Member CAT Reporter, receives a customer order for 10,000 shares and subsequently routes 2,000 shares of the order to Exchange A, another CAT Reporter. BD A’s trader or trading system subsequently modifies the price of the 2,000 share order routed to Exchange A. Is BD A required to report the modification of the 2,000 share order routed to Exchange A?
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E9.
This FAQ has been retired. Please refer to FAQ B58.
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E8.
This FAQ has been retired. Please refer to FAQ B57.
Topics
E. Order Routing and Execution
04/21/2020
CAT Alert
CAT Alert 2018-003 - IMID usage for CAT data submissions and in order routing events
Topics
B. Reporting Requirements
E. Order Routing and Execution
04/07/2020
CAT Alert
CAT Alert 2018-004 – Order Routing Field Correlations Between CAT and Exchanges
Topics
B. Reporting Requirements
E. Order Routing and Execution
03/26/2020
Event
CAT Technical Specification Working Group Q&A - 3/26/20
CAT Technical Specification Working Group Q&A 3/26/20 - Presentation
Audio file
Topics
B. Reporting Requirements
E. Order Routing and Execution
R. Clock Synchronization
02/11/2020
FAQ
E28.
Exchange origin code is required to be reported on CAT Order Route events when routing orders to an options exchange. However, it is not required by all options exchange protocols for certain market maker orders. In these cases, with what should Industry Members populate the exchOriginCode field on the Options Order Route Event?
Topics
E. Order Routing and Execution
01/28/2020
FAQ
E13.
Is a firm that routes an order away from the firm for execution required to report routing instructions (e.g., specific order types and terms and conditions used for the order when sending to an exchange) to CAT in the handlingInstructions field on the CAT Order Route Event?
Topics
E. Order Routing and Execution
08/13/2019
FAQ
E27.
How should the affiliateFlag be populated when routing an order between IMIDs belonging to the same broker-dealer?
Topics
E. Order Routing and Execution
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