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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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Order

08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024

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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
5/27/22 This Announcement Has Been Superseded

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A. General

B. Reporting Requirements

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2/1/2023 This Announcement Has Been Superseded

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B. Reporting Requirements
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
- Monthly CAT Update (May 18, 2023) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2023
Event
Monthly CAT Update (April 20, 2023)
- Monthly CAT Update (April 20, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/18/2023
Event
CAT Technical Specifications Working Group - April 18, 2023
- CAT Technical Specification Working Group (April 18, 2023) - Presentation
Audio file

Topics

B. Reporting Requirements

M. Firm Designated ID
03/24/2023
Event
Monthly CAT Update (March 23, 2023)
- Monthly CAT Update (March 23, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/28/2023
FAQ
B77. What are the CAT reporting obligations when a security is the subject of a corporate action (e.g. merger/acquisition) and is now a different security but trades under the same issue symbol and the customer/client wants to trade the new security?

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B. Reporting Requirements
02/28/2023
FAQ
B74. Is an Order Cancelled event (“MEOC”) required for Good till Cancelled (“GTC”) orders if an issue symbol is delisted?

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B. Reporting Requirements

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