Timelines

CAT Reporting Timelines

Phase 2a/2b Release 1 Timeline

Phase/Release Topic Event Date
2a/2b Release 1: File and Data Integrity Validations Connectivity Private Line available for network testing (BT Radianz & Century Link) October 15, 2019
2a/2b Release 1: File and Data Integrity Validations Reference Data Publication of IMID/IMID Conflicts & Issue Sample List October 25, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Webinar and Demo CAT Reporter Portal Industry Webinar and Demo
- CAT Reporter Portal Connectivity and Onboarding
- Roadmap of Functionality
- Multi-Factor Authentication
- Demo of CAT Reporting Relationships, ATS Order Type Registration, Basic Reporting
Stats & Manual File Upload
October 28, 2019
2a/2b Release 1: File and Data Integrity Validations Onboarding Onboarding Guide Update to include Multi-Factor Authentication November 1, 2019
2a/2b Release 1: File and Data Integrity Validations Connectivity CAT Secure Reporting Gateway available for network testing November 4, 2019
2a/2b Release 1: File and Data Integrity Validations Plan Participant UAT Plan Participant UAT begins for Industry Test Release 1.1. (November 18) & Reference Data Release November 4, 2019
2a/2b Release 1: File and Data Integrity Validations User Guide Publication CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality) November 4, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Test Release 1.1 Industry Test Release of:
- CAT Reporter Portal:
 * CAT Reporting Relationships
 * ATS Order Type Registration (ATS Only)
- Reference Data:
 * Publication of Daily Issue Symbol Reference
    List
 * Publication of Daily IMID and Conflicts List
November 18, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Webinar and Demo CAT Reporter Portal Industry Webinar and Demo
- Multi-Factor Authentication
- Industry Test Release 1.1 Functionality
November 18, 2019
2a/2b Release 1: File and Data Integrity Validations Plan Participant UAT Plan Participant UAT begins for Industry Test Release 1.2 (December 16 functionality) November 25, 2019
2a/2b Release 1: File and Data Integrity Validations User Guide Publication CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality) December 2, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Webinar and Demo CAT Reporter Portal Industry Webinar and Demo of:
- Industry Test Release 1.2 functionality - Basic Reporting Statistics and Manual File Upload
- Industry Test Release 1.3 functionality - Submission, Error Correction & Feedback
December 9, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Test Release 1.2 Industry Test Release of:
- Machine-to-Machine File and Data Integrity Validations & Feedback
- CAT Reporter Portal Basic Reporting Statistics and Manual File Upload
December 16, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Webinar and Demo: Industry Testing Checkpoint & CAT Reporter Portal Demo Industry Test Release 1.2 Go-Live Checkpoint and CAT Reporter Portal Demo of:
- CAT Reporter Portal Basic Reporting Statistics
- Manual File Upload
December 17, 2019
2a/2b Release 1: File and Data Integrity Validations Industry Call: Industry Testing Checkpoint Rescheduled Industry Testing Checkpoint Call December 30, 2019
2a/2b Release 1: File and Data Integrity Validations Connectivity Connectivity Supplement updated to include AWS PrivateLink information January 3, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Call: Industry Testing Checkpoint Weekly Industry Testing Checkpoint Calls - Every Tuesday at 4:15 pm (ET) January 7, 2020 - March 20, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Webinar Industry Webinar
- Private Line Connectivity & AWS PrivateLink
- MFA Update
- Review of Industry Test Plan
- Review of Industry Release 1.3 Functionality
- catnmsplan.com Redesign
January 15, 2020
2a/2b Release 1: File and Data Integrity Validations Connectivity AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal January 27, 2020
2a/2b Release 1: File and Data Integrity Validations Plan Participant UAT Plan Participant UAT begins for February Industry Test Release February 3, 2020
2a/2b Release 1: File and Data Integrity Validations User Guide Publication CAT Reporter Portal User Guide Published for February Release February 10, 2020
2a/2b Release 1: File and Data Integrity Validations Regularly Scheduled Weekly Industry Testing Checkpoint and Industry Webinar and Demo Regularly Scheduled Weekly Industry Testing Checkpoint Call and CAT Reporter Portal Industry Webinar and Demo of Industry Test Release 1.3 functionality:
- Submission, Error Correction & Feedback
February 18, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Test Release 1.3 Industry Test Release of:
- CAT Reporter Portal Error Correction and Feedback
February 24, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Webinar and Demo Industry Test Release 1.3 Go-Live Checkpoint and CAT Reporter Portal Demo of:
- Submission, Error Correction & Feedback
February 25, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Test Release 1.4 Industry Test Release of:
- CAT Reporter Portal Announcements & System Status
March 23, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Call: Industry Testing Checkpoint Daily Industry Testing Checkpoint Calls at 4:15 pm (ET) March 23, 2020 - April 3, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Test Certification Industry Members and CAT Reporting Agents must complete production readiness testing for 2a reporting April 6, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Call: Industry Testing Checkpoint Weekly Industry Testing Checkpoint Calls - Every Tuesday at 4:15 pm (ET) April 6, 2020 - May 1, 2020
2a/2b Release 1: File and Data Integrity Validations Production Readiness Production Environment Opens for Production Readiness April 13, 2020
2a/2b Release 1: File and Data Integrity Validations Production Go-Live Production Go-Live for Equities 2a file submission and data integrity validations April 20, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Call: Production Release Checkpoint Industry Call - Status of 2a Go-Live April 21, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Test Certification Industry Members and CAT Reporting Agents must complete production readiness testing for 2b reporting May 4, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Call: Industry Testing Checkpoint Daily Industry Testing Checkpoint Calls at 4:15 pm (ET) May 4, 2020 - May 15, 2020
2a/2b Release 1: File and Data Integrity Validations Production Go-Live Production Go-Live for Options 2b file submission and data integrity validations May 18, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Call: Production Release Checkpoint Industry Call - Status of 2b Go-Live May 19, 2020
2a/2b Release 1: File and Data Integrity Validations Industry Webinar and Demo Industry Webinar and Demo of Compliance Report Card June 2, 2020
2a/2b Release 1: File and Data Integrity Validations Production Go-Live Release of Industry Member Compliance Report Card for Equities ONLY June 19, 2020
2a/2b Release 1: File and Data Integrity Validations Production Go-Live Release of Industry Member Compliance Report Card including Equities and Options July 20, 2020