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Displaying 801 - 810 of 1629 results

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A. General

B. Reporting Requirements

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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

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T. Production Readiness Testing

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V. CAT Billing

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06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r6
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0
05/29/2021
Announcement
2020 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC

Topics

A. General
05/25/2021
Event
Industry Testing Checkpoint Call (May 25, 2021)
- Industry Testing Checkpoint Call (5/25/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12 (Redlined)

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B. Reporting Requirements
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
- Monthly CAT Implementation Update (5/20/21)- Presentation
- OATS Retirement Status Update (5/20/21)- Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3

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B. Reporting Requirements
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12
05/20/2021
Announcement
Simplified Login Screen

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A. General
05/18/2021
FAQ
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?

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A. General

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