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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

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Order

11/30/2021
Reference Material
Phase 2d Coordinated Industry Test- IMID List- 11/26/21
11/30/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r8
11/30/2021
FAQ
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?

Topics

B. Reporting Requirements
11/30/2021
FAQ
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?

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F. Representative Orders
11/30/2021
FAQ
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?

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F. Representative Orders
11/30/2021
FAQ
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?

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F. Representative Orders
11/24/2021
Technical Specifications
Transition Support: Schema Changes to Existing Phase 2c Events v1.3

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B. Reporting Requirements
11/23/2021
Technical Specifications
CAIS Submission Inconsistencies Feedback Schema
11/23/2021
Technical Specifications
CAIS TIDS Feedback Schema
11/23/2021
Technical Specifications
CAIS TIDS Schema

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