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Reference Material
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Topics
A. General
B. Reporting Requirements
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E. Order Routing and Execution
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H. ATS
I. Foreign Securities
J. OTC Equity Securities
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02/21/2020
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Transaction Registration & Onboarding
02/21/2020
Technical Specifications
02/20/2020
Event
Industry Webinar - FDID Refresher and Introduction to Allocation Reporting (2/19/2020)
02/19/2020
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Weekly Industry Testing Checkpoint Call (2/18/2020)
02/19/2020
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Notice of Filing of Exemptive Request Letter related to the Implementation of a Phased Industry Member Reporting Timeline
02/14/2020
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02/14/2020
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02/12/2020
Governance
Notice of Filing of Exemptive Request Letter related to Data Facility Reporting and Linkage
02/12/2020
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Industry Member Reporting Scenarios v2.5
02/12/2020
Event
Weekly Industry Testing Checkpoint Call (2/11/2020)
02/11/2020
FAQ
| K. Options
K11.
Can an Industry Member choose to report manual option events in Phase 2b, though they are not required until Phase 2d?
02/11/2020
FAQ
| E. Order Routing and Execution
E28.
Exchange origin code is required to be reported on CAT Order Route events when routing orders to an options exchange. However, it is not required by all options exchange protocols for certain market maker orders. In these cases, with what should Industry Members populate the exchOriginCode field on the Options Order Route Event?
02/11/2020
FAQ
| A. General
A30.
If a firm meets the definition of a Small Industry Member at the time its audited financial statements are prepared, but its total capital subsequently exceeds $500,000 prior to the Small Industry Member deadline of December 2021, must it immediately start reporting to CAT as a Large Industry Member?
02/10/2020
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02/06/2020
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