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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
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A. General
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F. Representative Orders
G. Manual Orders
H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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07/18/2019
Event
In-person Consolidated Audit Trail Options Deep Dive July 16, 2019 in Philadelphia
Options Deep Dive Philadelphia 7/16/19 - Presentation
Audio file
Topics
K. Options
07/17/2019
FAQ
C7.
Are orders received or routed via instant message (IM) or email considered “manual” or “electronic” for purposes of reporting to the CAT?
Topics
C. Definitions
06/25/2019
Technical Specifications
Industry Member Schema v2.2 (2a/2b)
06/24/2019
FAQ
O2.
What access methods are available to Industry Members to report to CAT?
Topics
O. Technical Requirements
06/24/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2
06/24/2019
Technical Specifications
Industry Member Reporting Scenarios v2.1
06/18/2019
FAQ
A22.
Can Small Industry Members that are not OATS Reporting Members (“Small Industry Non-OATs Reporters”) voluntarily report to the CAT prior to December 2021?
Topics
A. General
06/18/2019
FAQ
B11.
What types of products will be in scope for purposes of Industry Members reporting details of Orders and Reportable Events to the CAT?
Topics
B. Reporting Requirements
06/18/2019
FAQ
B27.
What are the hours for reporting to CAT?
Topics
B. Reporting Requirements
06/18/2019
FAQ
B30.
Are Cancel Reports required for expired "DAY" orders?
Topics
B. Reporting Requirements
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