Technical Documentation

11/16/2023  
2023 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
11/17/2023  
Order Routing Field Mapping between CAT and Exchanges v2.8
11/17/2023  
Options Exchanges Trade Field Mapping v1.4

12/04/2023  Planned Industry Member Technical Specification Updates 

12/04/2023  CAT Transaction- Known Issues List

07/25/2023  Industry Member Report Card- Known Issues List

Phase 2d Specifications

11/30/2023  
CAT Industry Member Technical Specifications (2d) v4.1.0

OATS To CAT Field Level Mapping

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

Full CAIS Technical Specifications

11/16/2023  
Full CAIS Industry Member Release Rollout
 (or 
2023 Industry Member Releases (Transaction) - Scope and Schedule
)

11/01/2023  Planned Full CAIS Technical Specification Updates

11/21/2023  CAT CAIS- Known Issues List (Full CAIS)

08/02/2023  
Customer & Account Technical Specifications for Industry Members v2.0 r10 (Clean)
12/17/2021  
Customer & Account Technical Specifications for Industry Members Appendix E

JSON Schemas

08/24/2023    
Industry Member Schema v4.0.0 r20 (2d)
11/30/2023   
Outstanding Rejections Metadata Feedback File Schema
11/30/2023   
Elements of Outstanding Rejections Metadata Feedback File
11/30/2023   
Outstanding Rejections Data Feedback File Schema
11/30/2023   
Elements of Outstanding Rejections Data Feedback File
11/30/2023   
Material Inconsistencies Metadata Feedback File Schema
11/30/2023   
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)

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].