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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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04/20/2021
CAT Alert
CAT Alert 2021-01 - Phase 2c Cutover- Transitioning from Phase 2a/2b to Phase 2c Data Submissions

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Clean)

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B. Reporting Requirements
04/20/2021
FAQ
Q43. The CAT Reporting Technical Specifications for Industry Members allows for a firmDesignatedID value of ‘PENDING’ if an FDID has not yet been created when an order has been received. Should Industry Members report a firmDesignatedID value of ‘PENDING’ to CAT CAIS?

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Q. Customer and Account Information
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r3
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r4
04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
- Monthly CAT Implementation Update (4/15/21)- Presentation
- OATS Retirement Status Update (4/15/21)- Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/15/2021
FAQ
Q20. When is an LTID considered to be reportable into CAIS?

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Q. Customer and Account Information
04/14/2021
Event
Industry Testing Checkpoint Call (April 13, 2021)
- Industry Testing Checkpoint Call (4/13/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
04/13/2021
Technical Specifications
Customer and Account Industry Member Submission Schema v1.2
04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (4/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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