You are invited to participate in the 2021 Business Clock Synchronization Survey. Click here for details.

Click this link to view timeline entries in calendar format or in a table format.
PrintPrint Current View
Phase: 2a/2b/2c/2d
Date Information Category Audience
11/29/2021
Small Industry Members and their CAT Reporting Agents must complete production readiness testing for 2a, 2b, 2c and 2d reporting
Testing & Readiness
  • Small Non-OATS Reporters
Phase: 2a
Date Information Category Audience
12/13/2021
Small Firms: Production Go-Live for Equities 2a reporting requirements
Release Availability & Compliance
  • Small Non-OATS Reporters
Phase: 2b
Date Information Category Audience
12/13/2021
Small Firms: Production Go-Live for Options 2b reporting requirements
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
Phase: 2c
Date Information Category Audience
12/13/2021
Small Firms: Production Go-Live for Equities 2c reporting requirements
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
Phase: 2d
Date Information Category Audience
12/13/2021
Production Go-Live for Phase 2d reporting requirements
Release Availability & Compliance
  • Large Industry Members
12/13/2021
Small Firms: Production Go-Live for Options 2d reporting requirements
Release Availability & Compliance
  • Small OATS Reporters
  • Small Non-OATS Reporters
12/13/2021
LTID Account Information Reporting Go-Live for Phase 2d (Large Industry Members)
Release Availability & Compliance
  • Developers
  • Large Industry Members
  • Plan Participants/Other Regulators
  • Service Bureaus
12/13/2021
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)
Release Availability & Compliance
  • Developers
  • Small OATS Reporters
  • Small Non-OATS Reporters
  • Plan Participants/Other Regulators
  • Service Bureaus
Phase: 2e
Date Information Category Audience
01/31/2022
Customer and Account Information - Test Environment Opens
Testing & Readiness
  • Industry Members
04/25/2022
Customer and Account Information - Production Environment Opens
Testing & Readiness
  • Industry Members
07/11/2022
Customer and Account Information - Production Environment Go-Live
Release Availability & Compliance
  • Industry Members

Need Help?

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