Technical Documentation

04/15/2024  
2024 Industry Member Releases (Transaction) - Scope and Schedule
 (or 
Full CAIS Industry Member Release Rollout
)
06/07/2022  
Linkage Summary Feedback File – CSV Sample
06/07/2022  
Linkage Summary Feedback File – JSON Sample
02/13/2024  
Order Routing Field Mapping between CAT and Exchanges v2.9
11/17/2023  
Options Exchanges Trade Field Mapping v1.4

04/15/2024  Planned Industry Member Technical Specification Updates 

04/10/2024  CAT Transaction- Known Issues List

12/06/2023  Industry Member Report Card- Known Issues List

Phase 2d Specifications

03/28/2024  CAT Industry Member Technical Specifications (2d) v4.1.0 r2 (Clean)

Full CAIS Technical Specifications

04/10/2024  
Full CAIS Industry Member Release Rollout
 (or 
2024 Industry Member Releases (Transaction) - Scope and Schedule
)

04/10/2024  Planned Full CAIS Technical Specification Updates

04/10/2024  CAT CAIS- Known Issues List (Full CAIS)

03/08/2024  Customer & Account Technical Specifications for Industry Members v2.1.0 r3 (Clean)

12/17/2021  
Customer & Account Technical Specifications for Industry Members Appendix E
 

JSON Schema Transaction System

03/28/2024    
Industry Member Schema v4.1.0 (2d)

JSON Schemas CAIS System

11/30/2023   
Outstanding Rejections Metadata Feedback File Schema
11/30/2023   
Outstanding Rejections Data Feedback File Schema
01/03/2024   
Outstanding Material Inconsistencies Metadata Feedback File Schema
01/26/2024   
Outstanding Material Inconsistencies Data Feedback File Schema
09/05/2023    
CAIS Data File Schema
09/05/2023    
CAIS Data Feedback Schema
09/05/2023    
CAIS TIDS Schema
09/05/2023    
CAIS TIDS Feedback Schema

Technical Specifications-Addendum for Industry Members Operating an IDQS

08/26/2020  
Technical Specifications for IDQS v1.0 r2

Phase 2a/2b Specifications

12/04/2020    
Industry Member Technical Specifications (2a/2b) v2.2.1 r9
 12/07/2020    
Industry Member Schema v2.2.1 r9 (2a/2b)

Phase 2c Specifications

11/24/2021    
Transition Support: Schema Changes to Existing Phase 2c Events v1.3
05/10/2021 
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13
05/12/2021    
Industry Member Schema v3.1.0 r13 (2c)

OATS To CAT Field Level Mapping

05/23/2019OATS To CAT Field Level Mapping v2

CAT CAIS LTID Technical Specifications  

04/20/2021  
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Clean)
04/13/2021     
Customer and Account Industry Member Submission Schema v1.2
07/27/2020     
Customer and Account Status File Schema v1.0.0 (JSON)
09/08/2022  CAT CAIS LTID Phase Report Card- Known Issues List
11/02/2022  Planned CAIS LTID Phase Technical Specification Updates
08/24/2022  CAT-CAIS Known Issues List (LTID Phase)

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].