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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
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04/01/2021
Reference Material
Response to Comments Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement
04/01/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement
Topics
A. General
03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
Industry Testing Checkpoint Call (March 30, 2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
03/31/2021
Reference Material
Plan Amendment Related to Revised Funding Model 3/31/21
03/24/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r1
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
J. OTC Equity Securities
03/23/2021
FAQ
A33.
Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?
Topics
A. General
03/23/2021
Event
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021)
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021) - Presentation
Audio file
03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Clean)
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
Monthly CAT Implementation Update (3/18/21)- Presentation
OATS Retirement Status Update (3/18/21)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
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