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09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)
Weekly Industry Testing Checkpoint Call (9/15/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
09/09/2020
FAQ
Q31.
When introducing brokers and executing brokers use a separate clearing broker for the accounts of their clients, what are the responsibilities for LTID reporting?
Topics
Q. Customer and Account Information
09/09/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r7
09/09/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r6
09/09/2020
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r2
09/08/2020
Event
CAT Technical Specification Working Group Q&A - 9/8/20
CAT Technical Specification Working Group Q&A 9/8/20- Presentation
Audio file
Topics
B. Reporting Requirements
I. Foreign Securities
P. Feedback and Error Correction
09/02/2020
FAQ
I4.
If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the market of execution is not known by the end of the CAT Trading day, does the firm have a CAT reporting obligation?
Topics
I. Foreign Securities
09/02/2020
FAQ
I2.
If a firm receives an order in a foreign security that is an OTC Equity Security and routes the order to another broker-dealer who then executes the order in the US, what is the reporting obligation of the routing firm?
Topics
I. Foreign Securities
09/02/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)
Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
Weekly Industry Testing Checkpoint Call (9/1/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
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