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Displaying 1331 - 1340 of 1551 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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Order

11/15/2018
FAQ
E6. If a .RA transaction represents an event that is CAT reportable is the transaction report submitted to a FINRA trade reporting system with a .RA modifier required to be matched to the related CAT Trade Event?

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E. Order Routing and Execution
11/15/2018
FAQ
E12. At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?

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E. Order Routing and Execution
11/15/2018
FAQ
E15. Are executions of orders routed as agent to an exchange or another CAT Reporter required to be reported by the routing firm?

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E. Order Routing and Execution
11/15/2018
FAQ
E16. A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?

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E. Order Routing and Execution
11/15/2018
FAQ
E17. When a firm has multiple functions performed on the same desk or within the same department, how does the firm determine which receivingDeskType to use in the CAT Internal Route Event for orders received by such multi-function desks?

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E. Order Routing and Execution
11/15/2018
FAQ
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?

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E. Order Routing and Execution
11/15/2018
FAQ
E21. If a trade is corrected in a TRF, what must be reported to CAT?

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E. Order Routing and Execution
11/15/2018
FAQ
E22. If a trade is reported on an “as of “basis to the TRF, what are the CAT reporting requirements?

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E. Order Routing and Execution
11/15/2018
FAQ
E23. Is the TRF reported Branch/Sequence Number or FINRA Compliance Number required to be unique within an IMID (e.g. MPID) within a day?

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E. Order Routing and Execution
11/15/2018
FAQ
B23. A broker-dealer accepts orders in Exchange Traded Managed Fund Shares ("ETMF"), or "NextShares", as defined under Nasdaq Rule 5745. When reporting orders in ETMFs to CAT should prices be reported in the "proxy price" format or using the Net Asset Value ("NAV") established at the end of the day?

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B. Reporting Requirements

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