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E. Order Routing and Execution
This topic includes information and reporting requirements related to order routing and execution.
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A. General
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F. Representative Orders
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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
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08/22/2024
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.13
Topics
B. Reporting Requirements
E. Order Routing and Execution
07/03/2024
FAQ
E18.
This FAQ has been retired and archived due to NYSE's Crossing Session II being decommissioned at the end of January 2024.
Topics
E. Order Routing and Execution
07/03/2024
FAQ
E18.
Should baskets submitted to NYSE’s Crossing Session II be reported to CAT as an Order Route event or a Trade Event?
Topics
E. Order Routing and Execution
03/13/2024
FAQ
E32.
What handling instructions must be applied to order events designated for participation in auctions?
Topics
E. Order Routing and Execution
12/14/2021
FAQ
E10.
Can an order be marked as Short Exempt on the Order Route event if the order was reported as a regular short sale on the related New Order event?
Topics
E. Order Routing and Execution
09/21/2021
FAQ
E1.
When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
Topics
E. Order Routing and Execution
08/31/2021
FAQ
E2.
Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
Topics
E. Order Routing and Execution
02/23/2021
FAQ
E25.
When should the cancelFlag field be set to true on the Trade event (“MEOT”)?
Topics
E. Order Routing and Execution
01/12/2021
FAQ
E29.
Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. How should Industry Members report trade cancellations and corrections to CAT?
Topics
E. Order Routing and Execution
10/06/2020
FAQ
E31.
If an Industry Member routes an order to another Industry Member or exchange and it is rejected because a data element was malformed and the message was unable to be read or parsed, is the Industry Member required to report the related order events to CAT given that they might reject (for example, for a malformed symbol or optionID that is not on the CAT Reportable Equity/Options Securities Symbol Master list)?
Topics
E. Order Routing and Execution
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