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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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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

11/15/2018
FAQ
B29. How should an order be identified when the broker (as opposed to the trader) has price and time discretion?

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B. Reporting Requirements
11/15/2018
FAQ
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B17. Is CAT data required to be maintained in a format that could be resubmitted to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B23. A broker-dealer accepts orders in Exchange Traded Managed Fund Shares ("ETMF"), or "NextShares", as defined under Nasdaq Rule 5745. When reporting orders in ETMFs to CAT should prices be reported in the "proxy price" format or using the Net Asset Value ("NAV") established at the end of the day?

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B. Reporting Requirements
11/15/2018
FAQ
B15. Does the CAT NMS Plan supersede Rule 17a-3?

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B. Reporting Requirements
11/15/2018
FAQ
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B33. How should a fractional number of shares as leavesQty be reported?

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B. Reporting Requirements
11/15/2018
FAQ
B36. How should prices (including fractions) be recorded in CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B22. What are the CAT reporting obligations when one Industry Member provides sponsored access to another Industry Member?

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B. Reporting Requirements
11/15/2018
FAQ
B25. What are the CAT reporting requirements for a proprietary trading firm?

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B. Reporting Requirements

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