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UPCOMING EVENT
Jun
26
Monthly CAT Update (June 26, 2025)
04:15PM EDT
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A. General
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
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N. Third Party Reporting
O. Technical Requirements
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06/18/2019
FAQ
D8.
Should accountHolderType "E" be used if a registered representative has discretion over a customer account?
Topics
D. Order Receipt
06/18/2019
FAQ
D20.
Why is there not an allowable value of unknown (U) for the accountHolderType Code field on New Order Events (MENO)?
Topics
D. Order Receipt
06/18/2019
FAQ
D21.
What accountHolderType value should be used if the beneficial owner of an account for which an order is received is an employee but the account also meets the definition of an institutional account?
Topics
D. Order Receipt
06/18/2019
FAQ
D25.
How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
Topics
D. Order Receipt
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
D5.
BD A, an Industry Member CAT Reporter receives 10 separate and distinct customer orders that together total 10,000 shares. A registered representative of BD A sends a single 10,000 share order to the trading desk. What are the CAT reporting obligations for BD A?
Topics
D. Order Receipt
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
06/18/2019
Announcement
Annual Clock Synchronization Certification
Topics
R. Clock Synchronization
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
Options Deep Dive 6/4/19 New York
Audio file
Topics
K. Options
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
Options Deep Dive San Francisco 6/11/2019
Audio file
Topics
K. Options
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