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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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Order

06/18/2019
FAQ
O11. Who do I contact if I need to change the configuration of my connection to the private network?

Topics

O. Technical Requirements
06/18/2019
FAQ
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?

Topics

M. Firm Designated ID
06/18/2019
FAQ
K4. Are option assignments required to be reported to CAT?

Topics

K. Options
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
06/18/2019
FAQ
H3. What should be populated in the "nbboTimestamp" fields on the New Order, Order Accept, Child Order, Child Order Modified, Order Modified, Order Adjusted and Trade Events for ATSs?

Topics

H. ATS
06/18/2019
FAQ
D6. Should accounts belonging to family members of an employee of an Industry Member CAT Reporter be reported with the accountHolderType Code "E"?

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D. Order Receipt
06/18/2019
FAQ
D7. Should accountHolderType Code "E" be used for orders received from former or retired employees or employees of other broker-dealers?

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D. Order Receipt
06/18/2019
FAQ
D8. Should accountHolderType "E" be used if a registered representative has discretion over a customer account?

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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)?

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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?

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D. Order Receipt

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