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T. Production Readiness Testing

This topic includes information related to certification testing in order to obtain access to the CAT Production Environment.

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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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05/17/2022
FAQ
T7. Clarifications to the descriptions of the ‘AUTHREP’ and ‘AUTH3RD’ values for the role field were published in version 2.0 r8 of the CAT Reporting Customer and Account Technical Specifications for Industry Members-Full CAIS (“Technical Specifications”) on April 8, 2022. The revised descriptions will require a change to the value my firm must populate in the role field. Given the time constraints between publication and the Production Readiness Certification Deadline for Full CAIS (July 1, 2022), is my firm required to change the ‘AUTH3RD’ value to ‘AUTHREP’ for FDID records my firm intended to use to conduct testing for production readiness for Full CAIS reporting?

Topics

T. Production Readiness Testing
12/07/2021
CAT Alert
CAT Alert 2021-03-Phase 2d: Transitioning from Phase 2c and Coordinated Industry Tests

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
09/14/2021
Event
Phase 2d Cutover (September 14, 2021)
- Phase 2d Cutover (September 14, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
06/10/2021
Event
Small Firms Roadmap to December 13, 2021 (June 10, 2021)
- Small Firms Roadmap to December 13, 2021 (6/10/2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

T. Production Readiness Testing
04/20/2021
CAT Alert
CAT Alert 2021-01 - Phase 2c Cutover- Transitioning from Phase 2a/2b to Phase 2c Data Submissions

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/17/2021
Event
CAIS Onboarding & LTID Submission for Small Firms (2/17/21)
- CAIS Onboarding & LTID Submission for Small Firms (2/17/2021)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
02/09/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (2/9/21)
- CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview(February 2021)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
08/12/2020
Event
LTID Submission Webinar (8/12/2020)
- LTID Submission Webinar (8/12/2020)- Presentation
Audio file

Topics

M. Firm Designated ID

Q. Customer and Account Information

T. Production Readiness Testing
05/21/2020
FAQ
T6. By what date must Industry Members that only handle orders in options complete production readiness testing?

Topics

T. Production Readiness Testing
05/21/2020
FAQ
T4. Is production readiness testing available after June 8, 2020?

Topics

T. Production Readiness Testing

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