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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 1221 - 1230 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
D17.
How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?
Topics
D. Order Receipt
11/15/2018
FAQ
D18.
Is the tradingSession field required to be populated for proprietary orders originated by the firm and where no customer instruction is received?
Topics
D. Order Receipt
11/15/2018
FAQ
D19.
How should the timeInForce field be populated for "Fill or Kill" orders that contain a limit price?
Topics
D. Order Receipt
11/15/2018
FAQ
D22.
What is the purpose of the infoBarrierID field and how should it be used?
Topics
D. Order Receipt
11/15/2018
FAQ
E4.
Are orders routed using ACES Pass-Thru considered manual or electronic?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E6.
If a .RA transaction represents an event that is CAT reportable is the transaction report submitted to a FINRA trade reporting system with a .RA modifier required to be matched to the related CAT Trade Event?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E12.
At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E15.
Are executions of orders routed as agent to an exchange or another CAT Reporter required to be reported by the routing firm?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E16.
A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E17.
When a firm has multiple functions performed on the same desk or within the same department, how does the firm determine which receivingDeskType to use in the CAT Internal Route Event for orders received by such multi-function desks?
Topics
E. Order Routing and Execution
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