Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
Add To My Calendar
Displaying 1191 - 1200 of 1453 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
Filter by Topic
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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
11/15/2018
FAQ
B32.
How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
Topics
B. Reporting Requirements
11/15/2018
FAQ
B33.
How should a fractional number of shares as leavesQty be reported?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B34.
An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B35.
Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B36.
How should prices (including fractions) be recorded in CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
C3.
What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
Topics
C. Definitions
11/15/2018
FAQ
S3.
How will CAT ensure the security of the data?
Topics
S. Security
11/15/2018
FAQ
R3.
Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?
Topics
R. Clock Synchronization
11/15/2018
FAQ
P1.
How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P2.
What will happen if order information is submitted for a security that is not CAT reportable?
Topics
P. Feedback and Error Correction
Pagination
«
« First
‹
‹ Previous
…
116
117
118
119
120
121
122
123
124
…
›
Next ›
»
Last »