Technical Documentation

02/01/2023     ​2022-23 Transaction Releases- 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

11/08/2022     Order Routing Field Mapping between CAT and Exchanges

10/14/2021     Options Exchanges Trade Field Mapping

01/18/2023    Planned Industry Member Technical Specification Updates

12/20/2022    CAT Transaction- Known Issues List

12/15/2022    Industry Member Report Card- Known Issues List

Phase 2d Specifications

12/16/2022     ​​Industry Member Technical Specifications (2d) v4.0.0 r18​
     

OATS To CAT Field Level Mapping

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

Full CAIS Technical Specifications

          02/01/2023 Full CAIS Industry Member Release Rollout  (or ​​2022-23 Transaction Releases- Scope and Schedule​​ )

          02/01/2023 Planned Full CAIS Technical Specification Updates

          02/01/2023 CAT CAIS- Known Issues List (Full CAIS)

          09/20/2022 ​​Full CAIS Technical Specifications for Industry Members-v2.0 r9​.2

          12/17/2021 Full CAIS Technical Specifications for Industry Members - Appendix E

JSON Schemas

12/21/2022     Industry Member Schema v4.0.0 r18 (2d) ​

05/17/2022     Customer and Account Nightly Inconsistencies Feedback Schema (Full CAIS)

06/02/2022     Customer and Account Data File Schema (Full CAIS)

05/17/2022     Customer and Account Data Feedback Schema (Full CAIS)

08/26/2022     ​Customer and Account TIDS Schema (Full CAIS) ​

05/17/2022     Customer and Account Submission Inconsistencies Feedback Schema (Full CAIS)

05/17/2022     Customer and Account TIDS Feedback Schema (Full CAIS)

Technical Specifications-Addendum for Industry Members Operating an IDQS

08/26/2020     Technical Specifications for Inter-dealer Quotation Systems ​v1.0.0 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​
05/10/2021 Industry Member Technical Specifications (2c) 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
04/13/2021     Customer and Account Industry Member Submission Schema v1.2 (LTID)
07/27/2020     Customer and Account Status File Schema v1.0.0 (LTID)
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].