Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
Topics
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
Topics
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
K. Options
This topic includes information and reporting requirements related to options orders.
Displaying 21 - 30 of 35 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
Filter by Topic
All Topics
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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
12/14/2020
FAQ
K10.
Does the exemption for Options Market Maker quotes apply to orders that function as quotes?
Topics
K. Options
03/12/2020
FAQ
K13.
If an Industry Member manually initiates a proprietary order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
Topics
K. Options
02/11/2020
FAQ
K11.
Can an Industry Member choose to report manual option events in Phase 2b, though they are not required until Phase 2d?
Topics
K. Options
01/30/2020
Event
Industry Webinar - Options Market Makers (1/29/2020)
Industry Webinar - Options Market Makers (1/29/2020) - Presentation
Audio file
Topics
K. Options
01/28/2020
FAQ
K7.
This FAQ has been moved to section K. Options, as FAQ K8.
Topics
K. Options
12/10/2019
FAQ
K9.
When sending orders to CAT, are Options Market Makers required to mark such orders with an open or close indicator?
Topics
K. Options
08/30/2019
Event
Industry Webinar - Options Deep Dive Follow Up Session (August 29, 2019)
CAT Options Deep Dive Follow up - Presentation
Audio file
Topics
K. Options
07/18/2019
Event
In-person Consolidated Audit Trail Options Deep Dive July 16, 2019 in Philadelphia
Options Deep Dive Philadelphia 7/16/19 - Presentation
Audio file
Topics
K. Options
06/18/2019
FAQ
K4.
Are option assignments required to be reported to CAT?
Topics
K. Options
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
Options Deep Dive 6/4/19 New York
Audio file
Topics
K. Options
Pagination
«
« First
‹
‹ Previous
1
2
3
4
›
Next ›
»
Last »