| Date | Phase | Information | Category | Audience |
|---|---|---|---|---|
| 10/15/2019 | 2a |
Private Line available for network testing (BT Radianz and Century Link)
Release 1 - File Submission and Data Integrity Validations
Topics
|
Connectivity |
|
| 10/15/2019 | 2a |
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
|
Release Availability & Compliance |
|
| 10/15/2019 | 2b |
Private Line available for network testing (BT Radianz and Century Link)
Release 1 - File Submission and Data Integrity Validations
Topics
|
Connectivity |
|
| 10/15/2019 | 2b |
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
|
Release Availability & Compliance |
|
| 11/01/2019 | 2a |
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
|
Registration & Onboarding |
|
| 11/01/2019 | 2b |
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
|
Registration & Onboarding |
|
| 11/04/2019 | 2a |
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
|
Connectivity |
|
| 11/04/2019 |
Plan Participant UAT begins for Industry Test Release 1.1 (November 18 functionality) and Reference Data Release
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
|
| 11/04/2019 | 2a |
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 11/04/2019 | 2b |
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
|
Connectivity |
|
| 11/04/2019 | 2b |
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 11/18/2019 | 2a |
Industry Test Release 1.1
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 11/18/2019 | 2b |
Industry Test Release 1.1
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 11/25/2019 |
Plan Participant UAT begins for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
|
| 12/02/2019 | 2a |
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 12/02/2019 | 2b |
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 12/16/2019 | 2a |
Test Environment opens for file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 12/16/2019 | 2b |
Test Environment opens for file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 12/16/2019 | 2a |
Industry Test Release 1.2
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 12/16/2019 | 2b |
Industry Test Release 1.2
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 12/31/2019 | 2a |
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 12/31/2019 | 2b |
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 01/03/2020 | 2a |
Connectivity Supplement updated to include AWS PrivateLink information
Release 1 - File Submission and Data Integrity Validations
|
Connectivity |
|
| 01/03/2020 | 2b |
Connectivity Supplement updated to include AWS PrivateLink information
Release 1 - File Submission and Data Integrity Validations
|
Connectivity |
|
| 01/27/2020 | 2a |
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
|
Connectivity |
|
| 01/27/2020 | 2b |
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
|
Connectivity |
|
| 01/31/2020 | 2c |
Technical Specifications Published for Equities Phase 2c
|
Specifications & User Guide |
|
| 01/31/2020 | 2e |
LTID Technical Specification Published
|
Specifications & User Guide |
|
| 02/03/2020 |
Plan Participant UAT begins for February Industry Test Release
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
|
| 02/10/2020 | 2a |
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 02/10/2020 | 2b |
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 02/24/2020 | 2a |
Industry Test Release 1.3
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 02/24/2020 | 2b |
Industry Test Release 1.3
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 03/11/2020 | 2a |
CAT Reporter Portal User Guide Published for Industry Test Release 1.4 (March 23 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 03/11/2020 | 2b |
CAT Reporter Portal User Guide Published for Industry Test Release 1.4 (March 23 functionality)
Release 1 - File Submission and Data Integrity Validations
|
Specifications & User Guide |
|
| 03/23/2020 | 2a |
Industry Test Release 1.4
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 03/23/2020 | 2b |
Industry Test Release 1.4
Industry Test Release of:
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 04/13/2020 | 2a |
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 04/13/2020 | 2b |
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 04/20/2020 | 2a |
Test Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
|
Testing & Readiness |
|
| 04/20/2020 | 2b |
Test Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
|
Testing & Readiness |
|
| 04/20/2020 | 2b |
Industry Members are permitted to begin reporting Quote Sent Time on OMM quotes
|
Testing & Readiness |
|
| 05/04/2020 | 2a |
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
|
Testing & Readiness |
|
| 05/04/2020 | 2b |
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
|
Testing & Readiness |
|
| 06/08/2020 | 2a |
Industry Members and CAT Reporting Agents must complete production readiness testing for 2a reporting
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 06/22/2020 | 2a |
Production Go-Live for Equities 2a file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
|
Release Availability & Compliance |
|
| 06/30/2020 | 2d |
Technical Specifications Published for Options Phase 2d
Topics
|
Specifications & User Guide |
|
| 07/06/2020 | 2b |
Industry Members and CAT Reporting Agents must complete production readiness testing for 2b reporting
Release 1 - File Submission and Data Integrity Validations
|
Testing & Readiness |
|
| 07/20/2020 | 2b |
Production Go-Live for Options 2b file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
|
Release Availability & Compliance |
|
| 07/20/2020 | 2b |
Industry Members are required to begin reporting Quote Sent Time on OMM quotes
|
Release Availability & Compliance |
|
| 07/27/2020 | 2a |
Production Environment Go-Live for Equities 2a Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
|
Release Availability & Compliance |
|
| 07/27/2020 | 2a |
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
|
Testing & Readiness |
|
| 07/27/2020 | 2b |
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
|
Testing & Readiness |
|
| 08/10/2020 | 2a |
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
|
Testing & Readiness |
|
| 08/10/2020 | 2b |
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
|
Testing & Readiness |
|
| 08/17/2020 | 2a |
Equities ONLY- Report Card Availability
|
Release Availability & Compliance |
|
| 08/24/2020 | 2b |
Production Environment Go-Live for Options 2b Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
|
Release Availability & Compliance |
|
| 08/24/2020 | 2c |
LTID Account Information Testing Environment Opens
|
Testing & Readiness |
|
| 09/09/2020 | 2a |
Test Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
|
Testing & Readiness |
|
| 09/09/2020 | 2b |
Test Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
|
Testing & Readiness |
|
| 09/15/2020 | 2b |
Equities AND Options- Report Card Availability
|
Release Availability & Compliance |
|
| 09/28/2020 | 2a |
Production Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
|
Testing & Readiness |
|
| 09/28/2020 | 2b |
Production Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
|
Testing & Readiness |
|
| 10/26/2020 | 2a |
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
|
Release Availability & Compliance |
|
| 10/26/2020 | 2a |
Production Environment Go-Live for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
|
Release Availability & Compliance |
|
| 12/14/2020 | 2c |
LTID Account Information Reporting Production Environment Opens
|
Release Availability & Compliance |
|
| 01/04/2021 | 2b |
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
|
Release Availability & Compliance |
|
| 01/04/2021 | 2b |
Production Environment Go-Live for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
|
Release Availability & Compliance |
|
| 01/25/2021 | 2c |
Test Environment Opens for Equities Phase 2c reporting requirements
|
Testing & Readiness |
|
| 01/29/2021 | 2e |
Full CAIS Final Technical Specification Published
|
Specifications & User Guide |
|
| 04/09/2021 | 2c |
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)
|
Registration & Onboarding |
|
| 04/26/2021 | 2c |
Production Go-Live for Equities 2c reporting requirements
|
Release Availability & Compliance |
|
| 04/26/2021 | 2c |
LTID Account Information Reporting Go-Live for Phases 2a, 2b and 2c (Large Industry Members)
|
Release Availability & Compliance |
|
| 06/28/2021 | 2d |
Test Environment Opens for Options Phase 2d reporting requirements
|
Testing & Readiness |
|
| 11/29/2021 | 2a/2b/2c/2d |
Small Industry Members and their CAT Reporting Agents must complete production readiness testing for 2a, 2b, 2c and 2d reporting
|
Testing & Readiness |
|
| 12/13/2021 | 2d |
Production Go-Live for Phase 2d reporting requirements
|
Release Availability & Compliance |
|
| 12/13/2021 | 2a |
Small Firms: Production Go-Live for Equities 2a reporting requirements
|
Release Availability & Compliance |
|
| 12/13/2021 | 2b |
Small Firms: Production Go-Live for Options 2b reporting requirements
|
Release Availability & Compliance |
|
| 12/13/2021 | 2c |
Small Firms: Production Go-Live for Equities 2c reporting requirements
|
Release Availability & Compliance |
|
| 12/13/2021 | 2d |
Small Firms: Production Go-Live for Options 2d reporting requirements
|
Release Availability & Compliance |
|
| 12/13/2021 | 2d |
LTID Account Information Reporting Go-Live for Phase 2d (Large Industry Members)
|
Release Availability & Compliance |
|
| 12/13/2021 | 2d |
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)
|
Release Availability & Compliance |
|
| 01/31/2022 | 2e |
Customer and Account Information - Test Environment Opens
|
Testing & Readiness |
|
| 04/25/2022 | 2e |
Customer and Account Information - Production Environment Opens
|
Testing & Readiness |
|
| 07/25/2022 | 2e |
Deadline to Request Production Readiness Certification for Full CAIS
|
Registration & Onboarding |
|
| 08/15/2022 | 2e |
First Day of Interim Reporting Obligation 1
|
Testing & Readiness |
|
| 09/15/2022 | 2e |
Last Day of Interim Reporting Obligation 1
|
Testing & Readiness |
|
| 10/10/2022 | 2e |
First Day of Interim Reporting Obligation 2
|
Testing & Readiness |
|
| 10/31/2022 | 2e |
Last Day of Interim Reporting Obligation 2
|
Testing & Readiness |
|
| 11/07/2022 | 2e |
Last Day for Interim Reporting Obligation 3
|
Testing & Readiness |
|
| 05/24/2024 | 2e |
Last Day for Interim Reporting Obligation 4
|
Testing & Readiness |
|
| 05/31/2024 | 2e |
Customer and Account Information - Compliance Go-Live
|
Release Availability & Compliance |
|