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A. General

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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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10/30/2023
Reference Material
Q3 2023 QPR
10/23/2023
Governance
Request for No-Action Relief related to 2X Load Testing
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
- Monthly CAT Update (October 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/12/2023
Reference Material
CAT LLC- Q1 2023 and Q2 2023 Financial and Operating Budget
10/12/2023
FAQ
V26. How would CAT fees be assessed with regard to non-Industry Members on transaction reports?

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V. CAT Billing
10/12/2023
FAQ
V25. How would CAT fees be assessed with regard to ATSs?

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V. CAT Billing
10/12/2023
FAQ
V24. How do I submit a fee dispute?

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V. CAT Billing
10/12/2023
FAQ
V23. How will transactions in fractional shares be treated under the funding model?

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V. CAT Billing
10/12/2023
FAQ
V22. Where can I obtain a copy of CAT LLC’s W-9?

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V. CAT Billing
10/12/2023
FAQ
V21. Will separate receipts be issued for payment of CAT invoices?

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V. CAT Billing

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