Phase 2a/2b Specifications

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

02/05/2021     Order Routing Field Mapping between CAT and Exchanges

02/26/2021    Planned Industry Member Technical Specification Updates

03/03/2021    CAT Transaction- Known Issues List

02/10/2021    Industry Member Report Card- Known Issues List

Phase 2c Specifications

03/05/2021 Industry Member Technical Specifications (2c) v3.1.0 r11

Phase 2d Specifications

03/05/2021    Industry Member Technical Specifications (2d) v4.0.0 r7  

OATS To CAT Field Level Mapping

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

CAT CAIS Specifications

01/29/2021     CAT Reporting Customer and Account Technical Specifications for Industry Members-CCID v2.0
12/01/2020     CAT Reporting Customer and Account Technical Specifications for Industry Members - Appendix E
02/23/2021     CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2​
03/05/2021    Planned CAIS Technical Specification Updates
03/04/2021    CAT CAIS-Known Issues List

JSON Schemas

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

02/08/2021     Industry Member Schema v3.1.0 r10 (2c)

03/08/2021     Industry Member Schema v4.0.0 r7 (2d)

02/23/2021     Customer and Account Industry Member Submission Schema v1.2

07/27/2020     Customer and Account Status File Schema v1.0.0  

Technical Specifications-Addendum for Industry Members Operating an IDQS

08/26/2020     Technical Specifications for Inter-dealer Quotation Systems ​v1.0.0 r2

Need Help?

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