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Displaying 1431 - 1440 of 1636 results
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A. General
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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
11/15/2018
FAQ
N2.
If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N3.
May an Industry Member use more than one third party to transmit data on its behalf to CAT?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N4.
Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
Topics
N. Third Party Reporting
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
CAT Industry Webcast 11/7/2018 - Presentation
Audio file
Topics
A. General
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
CAT Industry Webcast 11/8/2018 - Presentation
Audio file
Topics
K. Options
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
CAT Industry Webcast 11/14/2018 - Presentation
Audio file
Topics
A. General
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
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