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A. General

B. Reporting Requirements

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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 171 - 180 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

12/29/2020
Event
Weekly Industry Testing Checkpoint Call (12/29/2020)
- Weekly Industry Testing Checkpoint Call (12/29/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/17/2020
Event
Monthly CAT Implementation Update (12/17/20)
- Monthly CAT Implementation Update (12/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2020
Event
Weekly Industry Testing Checkpoint Call (12/15/2020)
- Weekly Industry Testing Checkpoint Call (12/15/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/09/2020
Event
Weekly Industry Testing Checkpoint Call (12/08/2020)
- Weekly Industry Testing Checkpoint Call (12/08/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/08/2020
Event
CAT Technical Specification Working Group Q&A - 12/08/20
- December 2020 Technical Specifications Overview - 12/8/20
- CAT Technical Specification Working Group Q&A - 12/08/20
Audio file

Topics

B. Reporting Requirements
12/01/2020
Event
Weekly Industry Testing Checkpoint Call (12/01/2020)
- Weekly Industry Testing Checkpoint Call (12/01/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/19/2020
Event
Monthly CAT Implementation Update (11/19/20)
- Monthly CAT Implementation Update (11/19/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2020
FAQ
B12. Are Industry Members required to report the equity leg of a complex order in Phase 2a of the revised implementation schedule?

Topics

B. Reporting Requirements
11/17/2020
Event
Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)
- Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
11/17/2020
Event
Weekly Industry Testing Checkpoint Call (11/17/2020)
- Weekly Industry Testing Checkpoint Call (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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