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Below is a summary of all available content.

UPCOMING EVENT

May

15

Monthly CAT Update (May 15, 2025)

04:15PM EDT

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Displaying 1411 - 1420 of 1491 results

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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

V. CAT Billing

W. Fee Dispute Resolution

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Timeline Activity
LTID Account Information Reporting Production Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
Full CAIS Final Technical Specification Published

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b and 2c (Large Industry Members)

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phase 2d (Large Industry Members)

Topics

Q. Customer and Account Information
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)

Topics

Q. Customer and Account Information
Timeline Activity
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Production Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Production Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage

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