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Displaying 1061 - 1070 of 1541 results

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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

V. CAT Billing

W. Fee Dispute Resolution

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04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1 r4
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2 (Redlined)
04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1
04/21/2020
Technical Specifications
Participant Technical Specifications v3.1.0
04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1 (Redlined)
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
- Weekly Industry Testing Checkpoint Call (4/14/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/14/2020
FAQ
B2. What are the timestamp requirements for reporting information to the CAT?

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B. Reporting Requirements
04/14/2020
FAQ
B8. How should an Industry Member report timestamps to the CAT if its order handling and order execution systems use different timestamp increments?

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B. Reporting Requirements
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers

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A. General

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