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K. Options
This topic includes information and reporting requirements related to options orders.
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A. General
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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
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R. Clock Synchronization
S. Security
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06/04/2020
CAT Alert
CAT Alert 2020-03 - Options Market Maker Quote Sent Time
Topics
B. Reporting Requirements
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
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