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M. Firm Designated ID

This topic includes information related to the Firm Designated ID (“FDID”) and use cases.

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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

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09/26/2019
Governance
Proposed FDID Amendment (9/26/2019)

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A. General

M. Firm Designated ID
09/11/2019
Event
Industry Webinar - Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
- Firm Designated ID (“FDID”) Follow-up (September 10, 2019) - Presentation
Audio file

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M. Firm Designated ID

U. Allocations
09/11/2019
Event
Industry Webinar – Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
- FDID Follow-Up LTID Industry Proposal
Audio file

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M. Firm Designated ID
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)
- FDID Guidance April 2019
Audio file

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M. Firm Designated ID

U. Allocations
01/17/2019
FAQ
M9. CAT FAQ M2 prohibits use of a customer account number as the FDID. Does this apply to proprietary accounts of an Industry Member?

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M. Firm Designated ID
08/15/2018
FAQ
M5. Which FDID must be provided for firm owned or controlled accounts?

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M. Firm Designated ID
09/02/2015
Governance
Approval Order of Exemptive Request Letter

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A. General

M. Firm Designated ID
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples

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A. General

M. Firm Designated ID
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter

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A. General

M. Firm Designated ID
Event
Industry Webinar - CAT 101
- CAT 101 01/08/20 - Presentation
Audio file

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A. General

B. Reporting Requirements

M. Firm Designated ID

N. Third Party Reporting

P. Feedback and Error Correction

R. Clock Synchronization

T. Production Readiness Testing

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