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A. General

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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

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05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13
05/07/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r2
05/06/2021
FAQ
K6. When an Industry Member receives a simple electronic order in Listed Options and solicits interest in the execution of the order, are the solicitation and the responses to the solicitation reportable in Phase 2b?

Topics

K. Options
05/06/2021
FAQ
K12. The concept of selling long or short is not applicable to options. How should the side field be populated on options events for a sell order?

Topics

K. Options
05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (5/5/21)- Presentation
- TID Creation Webinar (5/5/21)- Presentation
Audio file

Topics

M. Firm Designated ID

P. Feedback and Error Correction

Q. Customer and Account Information
05/05/2021
Reference Material
Plan Amendment Related to Revised Funding Model- Additional Details 5/5/21
05/04/2021
FAQ
B71. What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?

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B. Reporting Requirements
05/04/2021
FAQ
U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?

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U. Allocations
05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- Reporting and Repair Deadlines and Examples - 5/4/21
Audio file

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B. Reporting Requirements

Q. Customer and Account Information
05/04/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r5

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