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I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

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Q. Customer and Account Information

R. Clock Synchronization

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T. Production Readiness Testing

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03/25/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r14
03/24/2022
Event
CAIS Industry Testing Checkpoint Call (March 23, 2022)
- CAIS Industry Testing Checkpoint Call (March 23, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
03/23/2022
CAT Alert
CAT Alert 2020-04 - Standards for Self Reporting Erroneous Events to FINRA CAT

Topics

A. General
03/21/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r11
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
- Monthly CAT Update (March 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/15/2022
Event
CAT CAIS Technical Specification Working Group - March 15, 2022
- CAT CAIS Technical Specification Working Group (March 15, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
- CAIS Industry Testing Checkpoint Call (March 9, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
03/09/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r7

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B. Reporting Requirements
03/09/2022
Technical Specifications
Industry Member Reporting Scenarios v4.9

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B. Reporting Requirements
03/07/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r10

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