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A. General

B. Reporting Requirements

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B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

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02/13/2018
FAQ
B4. Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?

Topics

B. Reporting Requirements
Event
Industry Webinar - CAT 101
- CAT 101 01/08/20 - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

M. Firm Designated ID

N. Third Party Reporting

P. Feedback and Error Correction

R. Clock Synchronization

T. Production Readiness Testing
Event
Daily Industry Testing Checkpoint Call (6/17/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (March 16, 2021)
- Industry Testing Checkpoint Call (3/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Timeline Activity
Technical Specifications Published for Options Phase 2d

Topics

B. Reporting Requirements
Event
Industry Testing Checkpoint Call (3/2/2021)
- Industry Testing Checkpoint Call (3/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Monthly CAT Update (December 18, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0

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B. Reporting Requirements

O. Technical Requirements
Event
Daily Industry Testing Checkpoint Call (6/22/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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