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I. Foreign Securities

This topic includes information and reporting requirements related to orders involving foreign securities.

Displaying 1 - 10 of 12 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

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Order

09/21/2021
FAQ
I9. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?

Topics

I. Foreign Securities
09/21/2021
FAQ
I1. Are orders in foreign securities reportable?

Topics

I. Foreign Securities
01/26/2021
FAQ
I11. When must the destinationType field be populated with a value of ‘O’?

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I. Foreign Securities
01/26/2021
FAQ
I10. When must the senderType field be populated with a value of ‘O’?

Topics

I. Foreign Securities
09/08/2020
Event
CAT Technical Specification Working Group Q&A - 9/8/20
- CAT Technical Specification Working Group Q&A 9/8/20- Presentation
Audio file

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B. Reporting Requirements

I. Foreign Securities

P. Feedback and Error Correction
09/02/2020
FAQ
I2. If a firm receives an order in a foreign security that is an OTC Equity Security and routes the order to another broker-dealer who then executes the order in the US, what is the reporting obligation of the routing firm?

Topics

I. Foreign Securities
09/02/2020
FAQ
I4. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the market of execution is not known by the end of the CAT Trading day, does the firm have a CAT reporting obligation?

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I. Foreign Securities
08/27/2020
FAQ
I3. If an order in a foreign security that is an OTC Equity Security is broken up and executed across multiple markets, i.e., part of the order is executed in the US and part of the order is executed and reported in the foreign market, what are the CAT reporting obligations?

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I. Foreign Securities
08/27/2020
FAQ
I7. If an order is received under the US symbol of a foreign security that is an OTC equity security and the firm decides to send the order to a foreign market to be executed and reported, but the order ultimately gets executed in the US, does the firm have a CAT reporting obligation?

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I. Foreign Securities
08/27/2020
FAQ
I6. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the customer directs that the order only be executed in a foreign market, is this type of directed order required to be reported if the order is not executed by the end of the CAT Trading day?

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I. Foreign Securities

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