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Displaying 591 - 600 of 1491 results

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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

W. Fee Dispute Resolution

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08/31/2021
FAQ
E2. Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?

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E. Order Routing and Execution
08/31/2021
FAQ
U8. Are allocations to a registered investment advisor (RIA)/money manager’s average price account required to be reported even if the shares are only held there temporarily before being allocated to individual customer accounts? For example, an RIA manages two customer accounts at a self-clearing firm. The RIA places a single order in its account that will be later allocated between the two customer accounts. The shares are booked to an average price account designated for the RIA at the self-clearing firm until the RIA provides subaccount allocation instructions and the allocations are made to the individual customer accounts.

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U. Allocations
08/31/2021
FAQ
U9. What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?

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U. Allocations
08/31/2021
FAQ
U10. Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?

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U. Allocations
08/31/2021
FAQ
U14. When may the Amended Allocation/Option Amended Allocation (MEAA/MOAA) events be reported to CAT?

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U. Allocations
08/31/2021
Event
CAT CAIS Technical Specification Working Group - August 31, 2021
- CAT CAIS Technical Specification Working Group (8/31/21) - Presentation
Audio file

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Q. Customer and Account Information
08/26/2021
Announcement
2021 Consolidated Audit Trail Advisory Committee List

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A. General
08/25/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r4

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B. Reporting Requirements
08/24/2021
FAQ
D37. Are Industry Members that provide sponsored access/direct market access required to report the ‘DIR’ handlingInstructions value on the Order Accepted or New Order event?

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D. Order Receipt
08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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