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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

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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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01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
- Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
01/06/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r13
01/04/2022
Announcement
2022 Annual Clock Synchronization Certification

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R. Clock Synchronization
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
- Industry Testing Checkpoint Call (December 21, 2021) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
12/21/2021
Event
CAT Technical Specification Working Group - December 21, 2021
- CAT Technical Specification Working Group Technical Specifications Updates (December 21, 2021) - Presentation
Audio file

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B. Reporting Requirements

D. Order Receipt
12/20/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r12
12/17/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members Appendix E

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B. Reporting Requirements
12/17/2021
Technical Specifications
Appendix E - Region Codes

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