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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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01/29/2020
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information

Topics

A. General

Q. Customer and Account Information
01/28/2020
FAQ
K7. This FAQ has been moved to section K. Options, as FAQ K8.

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K. Options
01/28/2020
FAQ
E13. Is a firm that routes an order away from the firm for execution required to report routing instructions (e.g., specific order types and terms and conditions used for the order when sending to an exchange) to CAT in the handlingInstructions field on the CAT Order Route Event?

Topics

E. Order Routing and Execution
01/27/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.0
01/22/2020
Event
Weekly Industry Testing Checkpoint Call (1/21/2020)
- Industry Test Release Checkpoint (1/21/2020) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/16/2020
Event
Industry Webinar – CAT Updates (01/15/2020)
- Industry Webinar - General CAT Update
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/16/2020
Event
CAT Technical Specification Working Group Q&A - 1/16/20
- CAT Technical Specification Working Group Q&A 1/16/20 - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/15/2020
Event
Weekly Industry Testing Checkpoint Call (1/14/2020)
- Industry Test Release Status 1/14/2020 - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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

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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

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