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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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Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.1
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.2
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Connectivity Supplement updated to include AWS PrivateLink information
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.3
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.4 (March 23 functionality)
Release 1 - File Submission and Data Integrity Validations
Governance
Industry Recommendations for the Creation of a Consolidated Audit Trail (CAT) (3/28/13)

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