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Displaying 1491 - 1500 of 1636 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

X. Reference Database

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09/02/2015
Governance
Approval Order of Exemptive Request Letter

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A. General

M. Firm Designated ID
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis

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A. General
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples

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A. General

M. Firm Designated ID
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter

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A. General

M. Firm Designated ID
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)

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A. General
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)

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A. General
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

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