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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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Order

06/18/2019
FAQ
P12. Can accepted data be viewed in CAT?

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P. Feedback and Error Correction
06/18/2019
FAQ
O4. If a clearing firm enters into agreements with each of its correspondents to transmit data to CAT on behalf of the correspondents, is a separate Reporter ID required for each correspondent?

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O. Technical Requirements
06/18/2019
FAQ
O5. Can order events for more than one CAT Reporter be submitted to CAT in a single file?

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O. Technical Requirements
06/18/2019
FAQ
O7. Where can information on obtaining entitlement to CAT be found?

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O. Technical Requirements
06/18/2019
FAQ
O9. Where can information on obtaining access to the private network for reporting to CAT be found?

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O. Technical Requirements
06/18/2019
FAQ
O11. Who do I contact if I need to change the configuration of my connection to the private network?

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O. Technical Requirements
06/18/2019
FAQ
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?

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M. Firm Designated ID
06/18/2019
FAQ
K4. Are option assignments required to be reported to CAT?

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K. Options
06/18/2019
FAQ
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?

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J. OTC Equity Securities
06/18/2019
FAQ
H3. What should be populated in the "nbboTimestamp" fields on the New Order, Order Accept, Child Order, Child Order Modified, Order Modified, Order Adjusted and Trade Events for ATSs?

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H. ATS

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