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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

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I. Foreign Securities

J. OTC Equity Securities

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L. Equity Floor Brokers

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N. Third Party Reporting

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Below is a summary of all available content.

UPCOMING EVENT

Oct

16

Monthly CAT Update (October 16, 2025)

04:15PM EDT

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Displaying 1451 - 1460 of 1537 results

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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

Timeline Activity
Production Go-Live for Equities 2a file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2b reporting
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Go-Live for Options 2b file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
LTID Technical Specification Published

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Testing Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Production Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
Full CAIS Final Technical Specification Published

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b and 2c (Large Industry Members)

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phase 2d (Large Industry Members)

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)

Topics

Q. Customer and Account Information

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