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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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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

03/04/2020
Event
Weekly Industry Testing Checkpoint Call (3/3/2020)
- Weekly Industry Testing Checkpoint Call (3/3/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/27/2020
Event
Weekly Industry Testing Checkpoint Call and CAT Reporter Portal Demo (2/25/2020)
- 2.25.20 Industry Webinar Industry Test Release Checkpoint
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/19/2020
Event
Weekly Industry Testing Checkpoint Call (2/18/2020)
- Weekly Industry Testing Checkpoint Call (2/18/2020) - Presentation with Screenshots
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/12/2020
Event
Weekly Industry Testing Checkpoint Call (2/11/2020)
- Industry Test Release Status 2/11/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/05/2020
Event
Weekly Industry Testing Checkpoint Call (2/4/2020)
- Industry Test Release Checkpoint (2/4/2020) - Presentation
- AWS PrivateLink Connectivity Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/30/2020
Event
CAT Technical Specification Working Group Q&A - 1/30/2020
- CAT Technical Specification Working Group Q&A 1/30/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/29/2020
Event
Weekly Industry Testing Checkpoint Call (1/28/2020)
- Industry Test Release Checkpoint (1/28/2020) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/22/2020
Event
Weekly Industry Testing Checkpoint Call (1/21/2020)
- Industry Test Release Checkpoint (1/21/2020) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/16/2020
Event
Industry Webinar – CAT Updates (01/15/2020)
- Industry Webinar - General CAT Update
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/16/2020
Event
CAT Technical Specification Working Group Q&A - 1/16/20
- CAT Technical Specification Working Group Q&A 1/16/20 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing

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