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B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

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Displaying 111 - 120 of 345 results

Filter by Content Type

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

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Order

07/22/2021
Event
Multi-Leg/Complex Option Order (July 21, 2021)
- Multi-Leg/Complex Option Order (July 21, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

K. Options
07/22/2021
Announcement
2021 Business Clock Synchronization Survey

Topics

B. Reporting Requirements
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
- Monthly CAT Implementation Update (7/15/21)- Presentation
- OATS Retirement Status Update (7/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/16/2021
Technical Specifications
Industry Member Reporting Scenarios v4.5

Topics

B. Reporting Requirements
07/14/2021
Event
Industry Testing Checkpoint Call (July 13, 2021)
- Industry Testing Checkpoint Call (July 13, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/13/2021
FAQ
B66. When is the Order Effective event/Option Order Effective event (MEOE/MOOE) required to be reported to CAT?

Topics

B. Reporting Requirements
06/29/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 29, 2021
- CAT CAIS Technical Specification Working Group Q&A (6/29/21)- Q&A
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
06/24/2021
Event
Phase 2d Industry Webinar (June 24, 2021)
- Phase 2d Industry Webinar (6/25/21)- Presentation
Audio file

Topics

B. Reporting Requirements
06/22/2021
Event
CAT Technical Specification Working Group ( June 22, 2021)
- Technical Specifications Updates Presentation - 6/22/21
Audio file

Topics

B. Reporting Requirements

D. Order Receipt
06/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (June 17, 2021)
- Monthly CAT Implementation Update- Presentation
- FINRA (SRO) Status Update on OATS Retirement- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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