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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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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
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04/07/2020
CAT Alert
CAT Alert 2018-004 – Order Routing Field Correlations Between CAT and Exchanges
Topics
B. Reporting Requirements
E. Order Routing and Execution
03/26/2020
Event
CAT Technical Specification Working Group Q&A - 3/26/20
CAT Technical Specification Working Group Q&A 3/26/20 - Presentation
Audio file
Topics
B. Reporting Requirements
E. Order Routing and Execution
R. Clock Synchronization
02/11/2020
FAQ
E28.
Exchange origin code is required to be reported on CAT Order Route events when routing orders to an options exchange. However, it is not required by all options exchange protocols for certain market maker orders. In these cases, with what should Industry Members populate the exchOriginCode field on the Options Order Route Event?
Topics
E. Order Routing and Execution
01/28/2020
FAQ
E13.
Is a firm that routes an order away from the firm for execution required to report routing instructions (e.g., specific order types and terms and conditions used for the order when sending to an exchange) to CAT in the handlingInstructions field on the CAT Order Route Event?
Topics
E. Order Routing and Execution
08/13/2019
FAQ
E27.
How should the affiliateFlag be populated when routing an order between IMIDs belonging to the same broker-dealer?
Topics
E. Order Routing and Execution
08/13/2019
FAQ
E26.
Does Section 6.3(d)(ii) of the CAT NMS Plan, which sets forth the reporting requirements with regard to the “routing of an order,” apply to both internal and external routes?
Topics
E. Order Routing and Execution
06/18/2019
FAQ
E24.
Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?
Topics
E. Order Routing and Execution
06/18/2019
FAQ
E14.
Firm A routes an order to Firm B with instructions to send the order to another member or exchange for execution with specific terms and conditions that the executing venue must follow. Must Firm B report the terms and conditions intended for the executing venue as handling instructions on Firm B’s CAT Order Accepted Event in the handlingInstructions field?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E12.
At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E11.
At 8:30:00:000 a.m., BD1 receives a market-on-open customer order and guarantees the opening price. At 9:30:00.000 a.m., the market opens, and, at 9:35:00.000 a.m., BD1 receives the opening price information and executes the trade. What execution time should be used in the CAT Trade Event and related trade report?
Topics
E. Order Routing and Execution
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