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