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Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
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05/30/2023
Announcement
2/1/2023 This Announcement Has Been Superseded
05/30/2023
Announcement
5/27/22 This Announcement Has Been Superseded
05/30/2023
Announcement
11/22/22 This Announcement Has Been Superseded
05/24/2023
Reference Material
CAT Reporting Agent Agreement (Redlined PDF for reference)
05/24/2023
Reference Material
CAT Reporter Agreement (PDF for reference)
05/24/2023
Governance
Notice of Filing of Exemptive Request Letter Related to Responses to Electronic RFQs
05/24/2023
Reference Material
CAT Reporting Agent Agreement (PDF for reference)
05/24/2023
Reference Material
CAT Reporter Agreement (Redlined PDF for reference)
05/23/2023
FAQ
| Q. Customer and Account Information
Q68.
How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or Input Identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?
05/22/2023
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
05/18/2023
Governance
Response to Comments on Proposed CAT NMS Plan Amendment Related to Funding Proposal
05/15/2023
Event
Monthly CAT Update (December 21, 2023)
05/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023)
04/28/2023
Reference Material
Q1 2023 QPR
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