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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
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A. General
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04/08/2020
FAQ
B48.
If an Industry Member manually initiates a proprietary equities order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
Topics
B. Reporting Requirements
04/08/2020
Governance
SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity
Topics
B. Reporting Requirements
04/07/2020
CAT Alert
CAT Alert 2018-004 – Order Routing Field Correlations Between CAT and Exchanges
Topics
B. Reporting Requirements
E. Order Routing and Execution
04/07/2020
FAQ
D4.
A registered representative of BD A, an Industry Member CAT Reporter, creates an order for 10,000 shares that he later plans to allocate to 10 customer accounts for which he has trading discretion. What are the CAT reporting obligations for BD A for the 10,000 share order created by the registered representative?
Topics
D. Order Receipt
04/07/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.1
04/07/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.1 (Redlined)
04/07/2020
FAQ
N6.
If an Industry Member introducing firm uses a third party service bureau’s system, such as an Order Management System, provided by its clearing firm and the third party service bureau transmits data to CAT on behalf of the introducing firm, must there be a reporting agreement between the introducing firm and third party vendor?
Topics
N. Third Party Reporting
04/02/2020
Event
Industry Webinar - Security of CAT Data (4/1/2020)
Industry Webinar - Security of CAT Data (4/1/2020)- Presentation
Audio file
Topics
S. Security
04/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r1
04/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r1 (Redlined)
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