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UPCOMING EVENT
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Monthly CAT Update (January 16, 2025)
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N. Third Party Reporting
O. Technical Requirements
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09/25/2019
FAQ
A1.
Has a legal entity been established to conduct the activities related to the CAT?
Topics
A. General
09/19/2019
Event
Industry Webinar - OTC Equities (September 18, 2019)
Industry Webinar - OTC Equities (September 18, 2019) - Presentation
Audio file
Topics
B. Reporting Requirements
J. OTC Equity Securities
09/17/2019
FAQ
A4.
Does the Consolidated Audit Trail, LLC have any officers?
Topics
A. General
09/12/2019
Event
CAT Technical Specification Working Group Q&A - 9/12/2019
TSWG Q&A September 12, 2019
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
09/11/2019
FAQ
C2.
What is the definition of "foreign broker-dealer" for purposes of populating the destination type field for Industry Member reporting?
Topics
C. Definitions
09/11/2019
Event
Industry Webinar – Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
FDID Follow-Up LTID Industry Proposal
Audio file
Topics
M. Firm Designated ID
09/11/2019
Event
Industry Webinar - Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
Firm Designated ID (“FDID”) Follow-up (September 10, 2019) - Presentation
Audio file
Topics
M. Firm Designated ID
U. Allocations
08/30/2019
Event
Industry Webinar - Options Deep Dive Follow Up Session (August 29, 2019)
CAT Options Deep Dive Follow up - Presentation
Audio file
Topics
K. Options
08/30/2019
Event
Industry Webinar - CAT Connectivity (August 29, 2019)
CAT Connectivity Overview
Audio file
Topics
O. Technical Requirements
08/30/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1
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