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A. General

B. Reporting Requirements

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B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

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Filter by Content Type

Filter by Topic

All Topics

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

V. CAT Billing

W. Fee Dispute Resolution

Sort by

Order

01/15/2020
Event
Weekly Industry Testing Checkpoint Call (1/14/2020)
- Industry Test Release Status 1/14/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/07/2020
Event
Weekly Industry Testing Checkpoint Call (1/7/2020)
- Weekly Industry Checkpoint 1/7/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/02/2020
Event
Weekly Industry Testing Checkpoint Call (12/30/2019)
- Industry Test Release Status (12/30/2019) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/19/2019
Event
CAT Technical Specification Working Group Q&A – 12/19/2019
- CAT Technical Specification Working Group Q&A – 12/19/2019 - Questions
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/18/2019
Event
Industry Webinar - Industry Test Release 1.2 Go-Live Checkpoint and CAT Reporter Portal Demo (12/17/2019)
- Industry Test Release Status (12/17/2019) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/18/2019
Event
Industry Webinar – Initial CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID (12/18/2019)
- CAT Customer and Account Information System (CAIS) Specification for Firm Designated ID (FDID) and Large Trader ID (LTID)
Audio file

Topics

B. Reporting Requirements

M. Firm Designated ID

Q. Customer and Account Information
12/05/2019
Event
CAT Technical Specification Working Group Q&A – 12/5/2019
- CAT Tech Spec Working Group Q&A – 12/5/2019 - Questions
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
11/21/2019
Event
CAT Technical Specification Working Group Q&A – 11/21/2019
- CAT Technical Specification Working Group Q&A – 11/21/2019 - Questions
- 2a/2b Industry Test Plan Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
11/19/2019
Event
Industry Webinar - CAT Reporter Portal Industry Webinar and Demo (11/18/2019)
- CAT Reporter Portal Industry Webinar and Demo (11/18/2019) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
11/07/2019
Event
CAT Technical Specification Working Group Q&A – 11/07/2019
- CAT Technical Specification Working Group Q&A - 11/07/2019 - Questions
- IMID List and IMID Conflicts List
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing

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