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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.

Displaying 331 - 340 of 358 results

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A. General

B. Reporting Requirements

C. Definitions

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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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11/15/2018
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
09/11/2018
FAQ
B10. How should Industry Members report transactions involving fractional shares to the CAT?

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B. Reporting Requirements
03/21/2018
FAQ
B1. Are market maker quotes required to be reported to the CAT?

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B. Reporting Requirements
03/13/2018
FAQ
B6. Are CAT Reporters required to report to the CAT quotes received via subscriptions to receive market data from market data vendors (such as exchanges or market data aggregators)?

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B. Reporting Requirements
02/13/2018
FAQ
B4. Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?

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B. Reporting Requirements
Event
Daily Industry Testing Checkpoint Call (6/25/2020)

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B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/15/2020)

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B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0

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B. Reporting Requirements

O. Technical Requirements

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