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UPCOMING EVENT
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Monthly CAT Update (January 16, 2025)
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10/24/2019
FAQ
R6.
Must broker-dealers maintain a log of the times clocks are synchronized?
Topics
R. Clock Synchronization
10/24/2019
FAQ
R2.
If I am an agency broker-dealer and I send my orders through a third-party service provider’s system (e.g., Bloomberg), what clock synchronization compliance obligations do I have with regard to the third-party service provider’s clocks and my own clocks? Do I need to do anything with regard to the internal systems (e.g., internal PCs or servers) or clocks within my own firm to satisfy the clock synchronization requirements?
Topics
R. Clock Synchronization
10/16/2019
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information
Topics
A. General
Q. Customer and Account Information
10/14/2019
FAQ
C6.
What is the definition of a “cabinet” order for purposes of the “orderType” field for Exchange-listed options in the CAT Reporting Technical Specifications for Industry Members?
Topics
C. Definitions
10/10/2019
Event
CAT Technical Specification Working Group Q&A - 10/10/2019
CAT Technical Specification Working Group Q&A - 10/10/2019 - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
10/08/2019
Technical Specifications
Industry Member Reporting Scenarios v2.4
09/26/2019
Event
Industry Webinar - CAT Connectivity Update (September 26, 2019)
CAT Connectivity Update (September 26, 2019) - Presentation
Audio file
Topics
A. General
T. Production Readiness Testing
09/26/2019
Event
CAT Technical Specification Working Group Q&A - 9/26/2019
CAT Technical Specifications Q&A 9/26/2019 - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
09/26/2019
Governance
Proposed FDID Amendment (9/26/2019)
Topics
A. General
M. Firm Designated ID
09/26/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.1
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