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UPCOMING EVENT
May
15
Monthly CAT Update (May 15, 2025)
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A. General
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L. Equity Floor Brokers
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09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (9/1/21)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
08/31/2021
FAQ
E2.
Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
Topics
E. Order Routing and Execution
08/31/2021
FAQ
U8.
Are allocations to a registered investment advisor (RIA)/money manager’s average price account required to be reported even if the shares are only held there temporarily before being allocated to individual customer accounts? For example, an RIA manages two customer accounts at a self-clearing firm. The RIA places a single order in its account that will be later allocated between the two customer accounts. The shares are booked to an average price account designated for the RIA at the self-clearing firm until the RIA provides subaccount allocation instructions and the allocations are made to the individual customer accounts.
Topics
U. Allocations
08/31/2021
FAQ
U9.
What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
08/31/2021
FAQ
U10.
Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?
Topics
U. Allocations
08/31/2021
FAQ
U14.
When may the Amended Allocation/Option Amended Allocation (MEAA/MOAA) events be reported to CAT?
Topics
U. Allocations
08/31/2021
Event
CAT CAIS Technical Specification Working Group - August 31, 2021
CAT CAIS Technical Specification Working Group (8/31/21) - Presentation
Audio file
Topics
Q. Customer and Account Information
08/26/2021
Announcement
2021 Consolidated Audit Trail Advisory Committee List
Topics
A. General
08/25/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r4
Topics
B. Reporting Requirements
08/24/2021
FAQ
D37.
Are Industry Members that provide sponsored access/direct market access required to report the ‘DIR’ handlingInstructions value on the Order Accepted or New Order event?
Topics
D. Order Receipt
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