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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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03/29/2022
Event
Cost Savings and Processing Efficiencies
- Cost Savings and Processing Efficiencies (March 29, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
- Monthly CAT Update (March 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/09/2022
Technical Specifications
Industry Member Reporting Scenarios v4.9

Topics

B. Reporting Requirements
03/09/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r7

Topics

B. Reporting Requirements
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
- Monthly CAT Update (February 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/03/2022
Event
CAT Processing Update (February 2, 2022)
- CAT Processing Update (2.02.22) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
- Monthly CAT Update (January 19, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
- Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
- Industry Testing Checkpoint Call (December 21, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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