Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
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 Billing CAT Alert
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
Reporter Portal
Access Information
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
N. Third Party Reporting
This topic includes information related to the use of a third party to report data to CAT.
Displaying 1 - 8 of 8 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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
08/12/2020
FAQ
N7.
If a firm uses a third party CAT Reporting Agent to submit data on its behalf, can the firm satisfy its CAT recordkeeping obligations by having the third party retain the data and provide it upon request?
Topics
N. Third Party Reporting
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?
Topics
N. Third Party Reporting
01/09/2020
Event
Industry Webinar - CAT 101 (1/8/20)
CAT 101 01/08/20 - Presentation
Audio file
Topics
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
07/31/2019
FAQ
N5.
Are Industry Members that report to CAT using a third-party vendor that submits reportable data to the CAT using a private line connection required to transmit their CAT reportable data to the third party vendor via a private line connection?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N4.
Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N3.
May an Industry Member use more than one third party to transmit data on its behalf to CAT?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N2.
If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
Topics
N. Third Party Reporting
10/17/2018
FAQ
N1.
Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?
Topics
N. Third Party Reporting