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UPCOMING EVENT
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Monthly CAT Update (January 16, 2025)
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07/17/2020
FAQ
U5.
Are allocations to a firm owned or controlled account required to be reported? For example, a registered representative of a self-clearing broker-dealer exercises discretion over multiple retail customer accounts and originates a single aggregated order that will be allocated to the specific customer accounts post trade. Shares are booked to a firm average price account until the sub-account allocations are made to the individual customer accounts.
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U. Allocations
07/17/2020
FAQ
U6.
Are allocations to DVP accounts required to be reported? For example, an institution places an order with an executing broker-dealer and gives instructions to DVP the shares to two different custodial broker-dealers.
Topics
U. Allocations
07/17/2020
FAQ
U7.
Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
07/17/2020
FAQ
U11.
My firm’s allocations typically occur around 10 pm ET. Is my firm required to report the Post-Trade Allocation events (MEPA) and Option Post-Trade Allocation events (MOPA) by 8 am the next day?
Topics
U. Allocations
07/17/2020
FAQ
U12.
In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?
Topics
U. Allocations
07/17/2020
FAQ
B46.
The newOrderFDID field in the Post-Trade Allocation Event (MEPA) and Amended Allocation Event (MEAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?
Topics
B. Reporting Requirements
07/14/2020
Event
Weekly Industry Testing Checkpoint Call (7/14/2020)
Weekly Industry Testing Checkpoint Call (7/14/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/14/2020
Event
CAT Technical Specification Working Group Q&A - 7/14/20
2d Requirement for Unique orderID
TRF Corrections and Rejections
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/10/2020
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (July 2020)- Presentation
Audio file
Topics
Q. Customer and Account Information
07/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0
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