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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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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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11/17/2023
Event
Monthly CAT Update (November 16, 2023)
- Monthly CAT Update (November 16, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
- Monthly CAT Update (October 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/11/2023
FAQ
B43. Are verbal and manual quotes subject to the reporting requirements of Phases 2a, 2b, 2c or 2d?

Topics

B. Reporting Requirements
09/11/2023
FAQ
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?

Topics

B. Reporting Requirements
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
- CAT Technical Specifications Working Group (August 15, 2023) - Presentation
Audio file

Topics

B. Reporting Requirements
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024

Topics

B. Reporting Requirements

Q. Customer and Account Information
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
- Monthly CAT Update (June 15, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/30/2023
Announcement
2/1/2023 This Announcement Has Been Superseded

Topics

B. Reporting Requirements

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