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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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All Topics
A. General
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F. Representative Orders
G. Manual Orders
H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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03/17/2020
Announcement
No Action Letter
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter
Topics
A. General
03/12/2020
FAQ
M15.
What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?
Topics
M. Firm Designated ID
03/12/2020
FAQ
K13.
If an Industry Member manually initiates a proprietary order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
Topics
K. Options
03/12/2020
FAQ
S4.
What is the CAT?
Topics
S. Security
03/12/2020
FAQ
S5.
What type of information is in the CAT?
Topics
S. Security
03/12/2020
FAQ
S6.
What is Customer Account Information and Customer Identifying Information?
Topics
S. Security
03/12/2020
FAQ
S7.
How does the CAT protect social security numbers?
Topics
S. Security
03/12/2020
FAQ
S8.
Who has access to CAT Data?
Topics
S. Security
03/12/2020
FAQ
S9.
How can CAT Data be used?
Topics
S. Security
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