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01/14/2020
FAQ| T. Production Readiness Testing
T3. If the production readiness submission has an error rate exceeding 10%, can the data be corrected and resubmitted for a subsequent certification attempt?
01/14/2020
FAQ| E. Order Routing and Execution
E2. Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
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?
01/14/2020
FAQ| A. General
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
01/14/2020
FAQ| T. Production Readiness Testing
T5. If an Industry Member successfully certifies for Phase 2a equity submissions, must it recertify for Phase 2b options submissions?
01/14/2020
FAQ| T. Production Readiness Testing
T2. How will Industry Members that use multiple CAT Reporting Agents (“CRA”) be certified for production?
01/14/2020
FAQ| B. Reporting Requirements
B12. Are Industry Members required to report the equity leg of a complex order in Phase 2a of the revised implementation schedule?
01/09/2020
Event
Industry Webinar - CAT 101 (1/8/20)
01/07/2020
FAQ| D. Order Receipt
D1. This FAQ has been moved to section I. Foreign Securities, as FAQ I8.
01/07/2020
FAQ| B. Reporting Requirements
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?
01/07/2020
FAQ| I. Foreign Securities
I8. If a non-US broker-dealer routes an order to a US broker-dealer, how is the US broker-dealer required to report the receipt of the order to the CAT?
01/07/2020
Event
Weekly Industry Testing Checkpoint Call (1/7/2020)
01/07/2020
Event
Weekly Industry Testing Checkpoint Call (3/3/2020)
01/02/2020
Event
Weekly Industry Testing Checkpoint Call (12/30/2019)

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