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Displaying 1171 - 1180 of 1632 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

X. Reference Database

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04/07/2020
FAQ
D4. A registered representative of BD A, an Industry Member CAT Reporter, creates an order for 10,000 shares that he later plans to allocate to 10 customer accounts for which he has trading discretion. What are the CAT reporting obligations for BD A for the 10,000 share order created by the registered representative?

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D. Order Receipt
04/07/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.1
04/07/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.1 (Redlined)
04/07/2020
FAQ
N6. If an Industry Member introducing firm uses a third party service bureau’s system, such as an Order Management System, provided by its clearing firm and the third party service bureau transmits data to CAT on behalf of the introducing firm, must there be a reporting agreement between the introducing firm and third party vendor?

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N. Third Party Reporting
04/02/2020
Event
Industry Webinar - Security of CAT Data (4/1/2020)
- Industry Webinar - Security of CAT Data (4/1/2020)- Presentation
Audio file

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S. Security
04/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r1
04/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r1 (Redlined)
04/02/2020
Technical Specifications
CAT Industry Member Reporting Scenarios v3.0
04/02/2020
Technical Specifications
CAT Industry Member Reporting Scenarios v3.0 (Redlined)
04/01/2020
Event
Weekly Industry Checkpoint Call (3/31/2020)
- Weekly Industry Checkpoint Call (3/31/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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