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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

W. Fee Dispute Resolution

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03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
- CAT Technical Specification Working Group Q&A - 3/9/21
- March 2021 Technical Specification Updates - 3/9/21
Audio file

Topics

B. Reporting Requirements
03/09/2021
FAQ
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?

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J. OTC Equity Securities
03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1
03/09/2021
FAQ
B49. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or assignment to CAT?

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B. Reporting Requirements
03/05/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
- Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)- Presentation
Audio file

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B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r11

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B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r7

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B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.10

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B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.1

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B. Reporting Requirements
03/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)- Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information

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