Timelines

CAT Reporting Timelines

Phase Firm Type Event Date
2a Equities Large Industry Members and Small Industry Members that are OATS Reporters Test Environment opens for file submission and data integrity validations December 16, 2019
  Large Industry Members and Small Industry Members that are OATS Reporters Production Environment Go-Live for file submission and data integrity validations April 20, 2020
  Large Industry Members and Small Industry Members that are OATS Reporters Test Environment opens for Intra-firm Linkage validations April 2020
  Large Industry Members and Small Industry Members that are OATS Reporters Production Environment Go-Live for Intra-firm Linkage validations July 2020
  Large Industry Members and Small Industry Members that are OATS Reporters Test Environment opens for Firm to Firm Linkage validations July 2020
  Large Industry Members and Small Industry Members that are OATS Reporters Production Environment Go-Live for Firm to Firm Linkage validations October 2020
  Large Industry Members and Small Industry Members that are OATS Reporters Test Environment opens for Exchange and TRF Linkage validations September 2020
  Large Industry Members and Small Industry Members that are OATS Reporters Production Environment Go-Live for Exchange and TRF Linkage validations October 2020
Phase Firm Type Event Date
2b Options Large Industry Members Test Environment opens for file submission and data integrity validations December 16, 2019
  Large Industry Members Production Environment Go-Live for file submission and data integrity validations May 18, 2020
  Large Industry Members Test Environment opens for Intra-firm Linkage validations April 2020
  Large Industry Members Production Environment Go-Live for Intra-firm Linkage validations August 2020
  Large Industry Members Test Environment opens for Firm to Firm Linkage validations July 2020
  Large Industry Members Production Environment Go-Live for Firm to Firm Linkage validations December 2020
  Large Industry Members Test Environment opens for Exchange Linkage validations September 2020
  Large Industry Members Production Environment Go-Live for Exchange Linkage validations December 2020
Phase Firm Type Event Date
2c Equities All Firms Technical Specifications Published January 2020
  Large Industry Members Test Environment Opens January 2021
  Large Industry Members Production Environment Go-Live April 2021
Phase Firm Type Event Date
2d Options All Firms Technical Specifications Published June 2020
  Large Industry Members Test Environment Opens June 2021
  Large Industry Members Production Environment Go-Live December 2021

Small Industry Members Having Total Capitalization of less than $500,000

Phase Firm Type Event Date
2a Equities Small Industry Members Test Environment Opens December 2019
  Small Industry Members Production Environment Go-Live December 2021
2b Options Small Industry Members Test Environment Opens December 2019
  Small Industry Members Production Environment Go-Live December 2021
2c Equities Small Industry Members Test Environment Opens January 2021
  Small Industry Members Production Environment Go-Live December 2021
2d Options Small Industry Members Test Environment Opens June 2021
  Small Industry Members Production Environment Go-Live December 2021

Customer and Account Information

Firm Type Event Date
All Industry Members Technical Specifications Published January 2021
All Industry Members Test Environment Opens January 2022
All Industry Members Production Environment Go-Live July 2022

Please note that the Participants will make any filings with the SEC, as necessary, to reflect the phased approach for Industry Member CAT reporting.