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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

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08/13/2019
FAQ
M13. Does a Firm Designated ID apply to a trading account or to a Customer? Certain provisions in the CAT NMS Plan refer to Firm Designated IDs for Customers.

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M. Firm Designated ID
08/13/2019
FAQ
E26. Does Section 6.3(d)(ii) of the CAT NMS Plan, which sets forth the reporting requirements with regard to the “routing of an order,” apply to both internal and external routes?

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E. Order Routing and Execution
08/13/2019
FAQ
E27. How should the affiliateFlag be populated when routing an order between IMIDs belonging to the same broker-dealer?

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E. Order Routing and Execution
08/13/2019
Event
Industry Webinar - An Overview of the CAT Onboarding Guide (August 12, 2019)
- Onboarding Guide Overview 8/12/19
Audio file

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A. General

T. Production Readiness Testing
08/01/2019
Event
CAT Technical Specification Working Group Q&A - 8/1/2019
- CAT Tech Spec Working Group Q&A - 8/1/2019
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
07/31/2019
FAQ
B41. How should an Industry Member report to the CAT orders filled by the Industry Member from its inventory, rather than through the generation of a proprietary order to execute against the order?

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B. Reporting Requirements
07/31/2019
FAQ
N5. Are Industry Members that report to CAT using a third-party vendor that submits reportable data to the CAT using a private line connection required to transmit their CAT reportable data to the third party vendor via a private line connection?

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N. Third Party Reporting
07/31/2019
FAQ
B40. CAT FAQs B3 and B38 state that IOIs, RFQs and other forms of non-firm expressions of trading interest are not reportable to CAT. What factors should a firm consider when determining whether trading interest, regardless of the label attached to it, is reportable to CAT?

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B. Reporting Requirements
07/31/2019
Technical Specifications
CAT Industry Member Reporting Scenarios v2.2
07/18/2019
Event
In-person Consolidated Audit Trail Options Deep Dive July 16, 2019 in Philadelphia
- Options Deep Dive Philadelphia 7/16/19 - Presentation
Audio file

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K. Options

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