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U. Allocations
This topic includes information related to Allocation events.
Displaying 21 - 30 of 37 results
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10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
CAT Technical Specification Working Group Q&A - 10/20/20
Audio file
Topics
B. Reporting Requirements
U. Allocations
10/07/2020
FAQ
U2.
What is an Allocation Report and who is required to report it?
Topics
U. Allocations
09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)
Phase 2c Industry Webinar (9/23/20)- Presentation
Audio file
Topics
B. Reporting Requirements
U. Allocations
09/22/2020
FAQ
U20.
When converting the price of a non-US dollar currency for the purpose of reporting a CAT Allocation event, is it acceptable to use the end of day conversion rate?
Topics
U. Allocations
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
U. Allocations
08/27/2020
FAQ
U15.
Are Allocation Reports required to be reported for both purchases and sales?
Topics
U. Allocations
08/27/2020
FAQ
U13.
Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
Topics
U. Allocations
07/17/2020
FAQ
U11.
My firm’s allocations typically occur around 10 pm ET. Is my firm required to report the Post-Trade Allocation events (MEPA) and Option Post-Trade Allocation events (MOPA) by 8 am the next day?
Topics
U. Allocations
07/17/2020
FAQ
U5.
Are allocations to a firm owned or controlled account required to be reported? For example, a registered representative of a self-clearing broker-dealer exercises discretion over multiple retail customer accounts and originates a single aggregated order that will be allocated to the specific customer accounts post trade. Shares are booked to a firm average price account until the sub-account allocations are made to the individual customer accounts.
Topics
U. Allocations
07/17/2020
FAQ
U4.
If the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) is not required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA), how will the events be linked?
Topics
U. Allocations
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