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Displaying 1391 - 1400 of 1531 results

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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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CAT Alert
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0

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B. Reporting Requirements

O. Technical Requirements
CAT Alert
CAT Alert 2019-02 - CAT Reporting Technical Specifications for Industry Members - Final

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B. Reporting Requirements

O. Technical Requirements
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration

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H. ATS
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0

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B. Reporting Requirements

O. Technical Requirements
CAT Alert
CAT Alert 2018-001 – Industry Member Reporting Technical Specifications

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B. Reporting Requirements

O. Technical Requirements
Event
CAT Technical Specification Working Group Q&A - 10/24/2019
- CAT Technical Specification Working Group Q&A - 10/24/2019 - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
Timeline Activity
Test Environment opens for file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Test Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Production Environment Go-Live for Equities 2a Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage

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