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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 121 - 130 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

Sort by

Order

06/16/2021
Event
Phase 2d CAT Reporting Requirements for Open Outcry Trades (June 15, 2021)
- Phase 2d CAT Reporting Requirements for Open Outcry Trades- Recording
Audio file

Topics

B. Reporting Requirements
06/15/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 15, 2021
- CAT CAIS Technical Specification Working Group Q&A (6/15/2021)- Q&A
- CAT CAIS Technical Specification Working Group Q&A (6/15/2021)-Presentation
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
06/15/2021
FAQ
B73. What are the CAT reporting requirements for a scenario where a customer order is received and executed, and an Industry Member makes an accommodation to the customer due to a customer error?

Topics

B. Reporting Requirements
06/10/2021
Event
Small Firms Roadmap to December 13, 2021 (June 10, 2021)
- Small Firms Roadmap to December 13, 2021 (6/10/2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

T. Production Readiness Testing
06/08/2021
Event
CAT Technical Specification Working Group Q&A - June 8, 2021
- CAT Technical Specification Working Group Q&A- 6/08/21
- CAT Technical Specification Working Group Presentation- 6/08/21
Audio file

Topics

B. Reporting Requirements

D. Order Receipt
06/08/2021
Event
Industry Testing Checkpoint Call (June 8, 2021)
- Industry Testing Checkpoint Call (6/08/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
05/25/2021
Event
Industry Testing Checkpoint Call (May 25, 2021)
- Industry Testing Checkpoint Call (5/25/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12 (Redlined)

Topics

B. Reporting Requirements
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
- Monthly CAT Implementation Update (5/20/21)- Presentation
- OATS Retirement Status Update (5/20/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3

Topics

B. Reporting Requirements

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