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J. OTC Equity Securities

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

Displaying 1 - 9 of 9 results

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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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09/11/2023
FAQ
J6. What are the reporting requirements for quotes entered directly into OTC Link IDQS via OTC Link IDQS’s Dealer Application?

Topics

J. OTC Equity Securities
07/27/2021
FAQ
J5. The Industry Member Technical Specifications state that “If the status of a quote that was sent by an Industry Member to an Industry Member inter-dealer quotation system is changed as a result of an automatic process, then a Quote Status event is only required to be reported by the inter-dealer quotation system.” How is an ‘Automatic Process’ defined for the purpose of reporting Quote Status events to CAT?

Topics

J. OTC Equity Securities
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
- Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

J. OTC Equity Securities
03/11/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)
- Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers- Presentation
Audio file

Topics

B. Reporting Requirements

J. OTC Equity Securities
03/09/2021
FAQ
J2. What are the CAT reporting responsibilities with respect to OTC Link messages?

Topics

J. OTC Equity Securities
03/09/2021
FAQ
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?

Topics

J. OTC Equity Securities
01/08/2021
FAQ
J3. What are the reporting obligations for OTC Link messages directed by an OTC Link ATS subscriber to a Global OTC quote displayed on the OTC Link ATS?

Topics

J. OTC Equity Securities
09/19/2019
Event
Industry Webinar - OTC Equities (September 18, 2019)
- Industry Webinar - OTC Equities (September 18, 2019) - Presentation
Audio file

Topics

B. Reporting Requirements

J. OTC Equity Securities
06/18/2019
FAQ
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?

Topics

J. OTC Equity Securities

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