Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Billing CAT Alert
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
Reporter Portal
Access Information
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Jul
18
Monthly CAT Update (July 18, 2024)
04:15PM EDT
Add To My Calendar
Displaying 381 - 390 of 1385 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
Filter by Topic
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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
01/27/2022
FAQ
H4.
A firm operates a display ATS that only publishes periodic snapshots of aggregate quotes based on a pre-determined frequency (e.g., every X milliseconds). The aggregate quote published only reflects open interest at the time of the snapshot. Consequently, there may be orders that have been received, executed, canceled, or repriced as the result of a change in NBBO (or other relevant reference price), but no aggregate quote will be published until the time of the next snapshot. Is the ATS required to generate and report order display modifications under these circumstances?
Topics
H. ATS
01/25/2022
FAQ
Q7.
Is an Industry Member permitted to provide Sensitive Identifiers, dates of birth and account numbers as a part of the Customer Identifying Information and Customer Account Information?
Topics
Q. Customer and Account Information
01/25/2022
Event
CAT CAIS Technical Specification Working Group - January 25, 2022
CAT CAIS Technical Specification Working Group (January 25, 2022) - Presentation
Audio file
Topics
Q. Customer and Account Information
01/25/2022
FAQ
K24.
When should Industry Members report the ‘FB’ handling instruction on an Order Route event?
Topics
K. Options
01/24/2022
FAQ
D33.
How should the tradingSession field be populated for option orders?
Topics
D. Order Receipt
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
Monthly CAT Update (January 19, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
01/14/2022
FAQ
Q56.
What Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
Topics
Q. Customer and Account Information
01/13/2022
FAQ
Q10.
Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?
Topics
Q. Customer and Account Information
01/13/2022
FAQ
Q26.
What actions does a Reporting Agent need to take to certify the broker-dealers (CRDs) it will be reporting on behalf of?
Topics
Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
Pagination
«
« First
‹
‹ Previous
…
35
36
37
38
39
40
41
42
43
…
›
Next ›
»
Last »