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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 351 - 358 of 358 results

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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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Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/26/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Weekly Industry Checkpoint Call (3/24/2020)
- Weekly Industry Testing Checkpoint Call (3/24/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Technical Specifications
CAT Alert 2018-001- Industry Member Reporting Technical Specifications

Topics

B. Reporting Requirements
Event
Daily Industry Testing Checkpoint Call (6/18/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
CAT Technical Specification Working Group Q&A - 10/24/2019
- CAT Technical Specification Working Group Q&A - 10/24/2019 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
Event
Industry Testing Checkpoint Call (2/2/2021)
- Industry Testing Checkpoint Call (2/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2019-02 - CAT Reporting Technical Specifications for Industry Members - Final

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B. Reporting Requirements

O. Technical Requirements

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