Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B19. Is a Cancel Report required for an unexecuted IOC (Immediate or Cancel) or FOK (Fill or Kill)?
11/15/2018
FAQ| B. Reporting Requirements
B20. What are the CAT reporting obligations when providing sponsored access or direct market access to non-BD clients?
11/15/2018
FAQ| B. Reporting Requirements
B22. What are the CAT reporting obligations when one Industry Member provides sponsored access to another Industry Member?
11/15/2018
FAQ| A. General
A24. Is CAT a real-time system?
11/15/2018
FAQ| E. Order Routing and Execution
E22. If a trade is reported on an “as of “basis to the TRF, what are the CAT reporting requirements?
11/15/2018
FAQ| E. Order Routing and Execution
E21. If a trade is corrected in a TRF, what must be reported to CAT?
11/15/2018
FAQ| E. Order Routing and Execution
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?
11/15/2018
FAQ| E. Order Routing and Execution
E17. When a firm has multiple functions performed on the same desk or within the same department, how does the firm determine which receivingDeskType to use in the CAT Internal Route Event for orders received by such multi-function desks?
11/15/2018
FAQ| E. Order Routing and Execution
E16. A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?
11/15/2018
FAQ| E. Order Routing and Execution
E15. Are executions of orders routed as agent to an exchange or another CAT Reporter required to be reported by the routing firm?
11/15/2018
FAQ| B. Reporting Requirements
B15. Does the CAT NMS Plan supersede Rule 17a-3?
11/15/2018
FAQ| B. Reporting Requirements
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?
11/15/2018
FAQ| F. Representative Orders
F4. BD A receives orders from four separate customers totaling 10,000 shares, all with instructions to handle as agent. BD A sends one larger order, properly marked as agency, to a Participant exchange or another market center in an attempt to obtain an execution for these four orders. BDA holds the individual customer orders and never gives up control of these orders to any other broker-dealer or market center. Upon receipt of an execution of the larger order, the shares are recorded in my firm's agency allocation account. Subsequently, BDA allocates the shares from the agency allocation account to the individual customer accounts based upon a predetermined allocation methodology. How should these orders and related executions be reported to CAT?
11/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
11/15/2018
FAQ| A. General
A23. What are the record retention requirements for Industry Member CAT Reporters?

« First
‹ Previous
…
92
93
94
95
96
97
98
99
100
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].