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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

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?

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E. Order Routing and Execution
11/15/2018
FAQ
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?

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E. Order Routing and Execution
11/15/2018
FAQ
E21. If a trade is corrected in a TRF, what must be reported to CAT?

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E. Order Routing and Execution
11/15/2018
FAQ
E22. If a trade is reported on an “as of “basis to the TRF, what are the CAT reporting requirements?

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E. Order Routing and Execution
11/15/2018
FAQ
E23. Is the TRF reported Branch/Sequence Number or FINRA Compliance Number required to be unique within an IMID (e.g. MPID) within a day?

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E. Order Routing and Execution
11/15/2018
FAQ
B23. A broker-dealer accepts orders in Exchange Traded Managed Fund Shares ("ETMF"), or "NextShares", as defined under Nasdaq Rule 5745. When reporting orders in ETMFs to CAT should prices be reported in the "proxy price" format or using the Net Asset Value ("NAV") established at the end of the day?

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B. Reporting Requirements
11/15/2018
FAQ
I5. What are an Industry Member's CAT reporting obligations when a US symbol is not available on the day an order is received and executed? For example, an order is received and executed on Monday at which time a symbol is requested. The symbol, however, is not issued until Wednesday.

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I. Foreign Securities
11/15/2018
FAQ
H5. An ATS receives an IOC order and prior to obtaining any applicable reference price necessary to process the order, the ATS determines there is no contra side interest available for execution. Consequently, the ATS immediately cancels the order back to the subscriber without ever determining an applicable reference price. What should the ATS populate in the NBBO (or other applicable reference price) information fields?

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H. ATS
11/15/2018
FAQ
D12. An Industry Member receives an order with instructions to execute the order as agent or riskless principal during regular market hours. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at an average price of the shares accumulated during regular market hours. What should be populated in the tradingSession field on the New Order or Order Accepted Event?

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D. Order Receipt
11/15/2018
FAQ
D13. An Industry Member receives an order with instructions to execute the order on a net basis. No specific instruction is given with respect to which trading session the order is eligible to be executed. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at a net price which is reported to the tape. What should be populated in the tradingSession field on the New Order or Order Accepted Event?

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D. Order Receipt

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