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
U. Allocations
This topic includes information related to Allocation events.
Displaying 21 - 30 of 37 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
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
U13.
Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
Topics
U. Allocations
08/27/2020
FAQ
U15.
Are Allocation Reports required to be reported for both purchases and sales?
Topics
U. Allocations
07/17/2020
FAQ
U3.
When an order is placed directly in a customer account, is the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
07/17/2020
FAQ
U7.
Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
07/17/2020
FAQ
U12.
In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?
Topics
U. Allocations
Pagination
«
« First
‹
‹ Previous
1
2
3
4
›
Next ›
»
Last »