Series 57 podcast · Episode 16
Creating, Retaining and Reporting Required Records of Orders and Transactions
52 min of listening
Books and Records, Trade Reporting and Settlement. Free audio, ready to play in your browser.
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the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Large Trade ID and Related Reporting Requirements
- Filing Form 13H and Disclosing Large Trader Status
- Large Trader Monitoring Requirements
- Order Execution Information
- Summary Execution Statistics and Reporting Thresholds
- Order Routing Information
- Customer Requests for Routing Information
- Consolidated Audit Trail (CAT) Reporting Obligations
- CAT Required Fields by Reportable Event
- CAT Received Data and Reporting Exceptions
- CAT Reporting Timing and Time Stamps
- Business Clock Synchronization
- Consolidated Options Audit Trail System (COATS)
- Reporting Options Transactions to the Exchange
- Correcting a Trade Through the Clearing Editor
- Exchange Books, Records and Automated Trading Data
- Books and Records Requirements
- Order Memoranda and Trading Records
- Account Designations and Pre-Time Stamping
- ATS Transparency
Put this episode into practice with adaptive questions and flashcards in the full Series 57 course.