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Reference Material
Timeline Activity
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
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U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
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01/02/2024
Announcement
2024 Annual Clock Synchronization Certification
12/29/2023
Announcement
1/5/2024 - 1/8/2024 CAT CAIS Maintenance - Reminder
12/26/2023
Basic page
Billing Trade Summaries
12/22/2023
Reference Material
IM Reporter Portal User Guide v1.6
12/21/2023
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 (Clean)
12/20/2023
Event
Monthly CAT Update (December 19, 2023)
12/18/2023
Reference Material
Independent Audit of Costs Incurred Prior to Effective Date of the Plan
12/14/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (December 13, 2023)
12/08/2023
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.0 r1
12/07/2023
Announcement
2023 Consolidated Audit Trail Advisory Committee List
12/07/2023
Event
Part 2: CAIS Releases (December 6, 2023)
12/05/2023
Reference Material
SEC Granting Exemptive Relief Related to Recordkeeping Requirements for Industry Test Data
11/30/2023
Event
Part 1: CAIS Releases (November 29, 2023)
11/30/2023
Reference Material
Outstanding Rejections Data Feedback File Schema
11/30/2023
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.0
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