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A. General

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All Topics

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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Order

01/14/2020
FAQ
T1. Where can Industry Members find information regarding production readiness testing requirements?

Topics

T. Production Readiness Testing
01/14/2020
FAQ
T2. How will Industry Members that use multiple CAT Reporting Agents (“CRA”) be certified for production?

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T. Production Readiness Testing
01/14/2020
FAQ
T3. If the production readiness submission has an error rate exceeding 10%, can the data be corrected and resubmitted for a subsequent certification attempt?

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T. Production Readiness Testing
01/14/2020
FAQ
T5. If an Industry Member successfully certifies for Phase 2a equity submissions, must it recertify for Phase 2b options submissions?

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T. Production Readiness Testing
01/07/2020
Event
Weekly Industry Testing Checkpoint Call (1/7/2020)
- Weekly Industry Checkpoint 1/7/2020 - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/07/2020
FAQ
D1. This FAQ has been moved to section I. Foreign Securities, as FAQ I8.

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D. Order Receipt
01/07/2020
FAQ
I8. If a non-US broker-dealer routes an order to a US broker-dealer, how is the US broker-dealer required to report the receipt of the order to the CAT?

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I. Foreign Securities
01/02/2020
Event
Weekly Industry Testing Checkpoint Call (12/30/2019)
- Industry Test Release Status (12/30/2019) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/30/2019
Announcement
Notice Address Language for CAT Reporter Agreement & CAT Reporting Agent Agreement

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S. Security
12/23/2019
FAQ
D27. Are firms that provide sponsored access/direct market access required to report handling instructions on their new orders for handling instructions not intended for the sponsored access/direct market access provider but for the destination market center?

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D. Order Receipt

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