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Content type
CAT Alert
Announcement
Event
FAQ
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
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
All Topics
Year
- Any -
2020
2019
2018
2017
2016
2015
2014
2013
2012
Latest Updates
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01/30/2020
Event
CAT Technical Specification Working Group Q&A - 1/30/2020
01/29/2020
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information
01/29/2020
Event
Weekly Industry Testing Checkpoint Call (1/28/2020)
01/28/2020
FAQ
| D. Order Receipt
D30.
Are Industry Members required to report handlingInstructions to CAT for default or implicit handling instructions, such as instructions that are defaulted at a port or connection level?
01/28/2020
FAQ
| M. Firm Designated ID
M8.
When will Industry Members be required to report the FDID to the CAT?
01/28/2020
FAQ
| K. Options
K7.
This FAQ has been moved to section K. Options, as FAQ K8.
01/28/2020
FAQ
| E. Order Routing and Execution
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?
01/28/2020
FAQ
| B. Reporting Requirements
B46.
The newOrderFDID field in the Post-Trade Allocation Event (MEPA) and Amended Allocation Event (MEAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?
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)
01/16/2020
Event
CAT Technical Specification Working Group Q&A - 1/16/20
01/16/2020
Event
Industry Webinar – CAT Updates (01/15/2020)
01/15/2020
Event
Weekly Industry Testing Checkpoint Call (1/14/2020)
01/14/2020
FAQ
| T. Production Readiness Testing
T4.
Is production readiness testing available after April 6, 2020?
01/14/2020
FAQ
| T. Production Readiness Testing
T1.
Where can Industry Members find information regarding production readiness testing requirements?
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