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Displaying 1331 - 1340 of 1636 results

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A. General

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F. Representative Orders

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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

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06/18/2019
FAQ
O9. Where can information on obtaining access to the private network for reporting to CAT be found?

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

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O. Technical Requirements
06/18/2019
FAQ
K4. Are option assignments required to be reported to CAT?

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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?

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J. OTC Equity Securities
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
- Options Deep Dive 6/4/19 New York
Audio file

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K. Options
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
- Options Deep Dive San Francisco 6/11/2019
Audio file

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K. Options
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
- Options Deep Dive 5/15/2019
Audio file

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K. Options
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
- IM Tech Spec Updates
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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