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UPCOMING EVENT
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Monthly CAT Update (December 19, 2024)
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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?
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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
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
Options Deep Dive 5/15/2019
Audio file
Topics
K. Options
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
IM Tech Spec Updates
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
05/10/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.1
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