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UPCOMING EVENT
Sep
19
Monthly CAT Update (September 19, 2024)
04:15PM EDT
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A. General
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F. Representative Orders
G. Manual Orders
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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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R. Clock Synchronization
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03/21/2024
Event
Monthly CAT Update (March 21, 2024)
Monthly CAT Update (March 21, 2024) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
03/20/2024
Event
CAT Technical Specifications Working Group - March 19, 2024
FDID Validation on Transaction Data - March 19, 2024 (Presentation)
Auction Instructions - March 19, 2024 (Presentation)
Audio file
03/13/2024
FAQ
E32.
What handling instructions must be applied to order events designated for participation in auctions?
Topics
E. Order Routing and Execution
03/13/2024
Event
CAIS Industry Testing Checkpoint Call (March 13, 2024)
CAIS Industry Testing Checkpoint Call (March 13, 2024) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
03/13/2024
FAQ
K26.
Are any handling instructions required when a paired options order is routed to an options exchange and the exchange member is willing to meet price improvement offered by other exchange participants?
Topics
K. Options
03/08/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 r3 (Clean)
03/07/2024
Reference Material
Industry Member Onboarding Guide v1.24
Topics
A. General
03/07/2024
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.17
Topics
A. General
02/29/2024
Reference Material
CAT CAIS Industry Member Reporting Scenarios v2.4
02/29/2024
Announcement
2024 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)
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