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UPCOMING EVENT
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Monthly CAT Update (January 16, 2025)
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01/19/2021
Event
CAT Technical Specification Working Group Q&A - 1/19/21
Technical Specifications Updates Presentation - 1/19/21
CAT Technical Specification Working Group Q&A - 1/19/21
Audio file
Topics
B. Reporting Requirements
01/19/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0 r2
01/12/2021
FAQ
B21.
How should Exchange for Physicals ("EFP") transactions be reported to CAT?
Topics
B. Reporting Requirements
01/12/2021
FAQ
B63.
How should the initiator field be populated if an Industry Member modifies or cancels an order based on implicit customer instructions communicated with the order, such as with certain ATS order types, as well as for actions initiated by the Industry Member unilaterally as a direct result of customer modifications or cancellations?
Topics
B. Reporting Requirements
01/12/2021
FAQ
E29.
Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. How should Industry Members report trade cancellations and corrections to CAT?
Topics
E. Order Routing and Execution
01/12/2021
Event
Weekly Industry Testing Checkpoint Call (1/12/2021)
Weekly Industry Testing Checkpoint Call (1/12/2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
01/12/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r5
01/11/2021
Timeline Activity
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)
Topics
Q. Customer and Account Information
01/08/2021
FAQ
J3.
What are the reporting obligations for OTC Link messages directed by an OTC Link ATS subscriber to a Global OTC quote displayed on the OTC Link ATS?
Topics
J. OTC Equity Securities
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.11
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