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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 1201 - 1210 of 1453 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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11/15/2018
FAQ
P3.
If one record in a file is rejected, will the whole file be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P7.
Can previously accepted records be deleted?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P11.
Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P14.
If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P15.
What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
O6.
Are back-up circuits required for reporting to CAT via SFTP?
Topics
O. Technical Requirements
11/15/2018
FAQ
O8.
What are the Web addresses used to transfer CAT data?
Topics
O. Technical Requirements
11/15/2018
FAQ
O10.
Can files be sent to CAT using SFTP via the Internet?
Topics
O. Technical Requirements
11/15/2018
FAQ
O12.
Can records submitted via the CAT Web Portal be saved?
Topics
O. Technical Requirements
11/15/2018
FAQ
O13.
Where can the status of the CAT system be found?
Topics
O. Technical Requirements
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