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Displaying 811 - 820 of 1638 results

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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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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

Topics

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
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (May 18, 2021)
- CAIS Tech Spec Update (5/18/2021)- Presentation
Audio file

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M. Firm Designated ID

Q. Customer and Account Information
05/18/2021
FAQ
C8. The IM Technical Specifications state that “Industry Members are required to report responses to RFQs and other forms of solicitation that are firm expressions of interest to trade”. How are “other forms of solicitation” defined for CAT reporting purposes?

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C. Definitions

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