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A. General

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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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09/05/2023
Technical Specifications
CAIS Data File Schema
09/05/2023
Technical Specifications
CAIS Data Feedback Schema
08/22/2023
Event
CAT CAIS Technical Specifications Working Group - August 22, 2023
- CAT CAIS Technical Specifications Working Group (August 22, 2023) - Presentation
Audio file

Topics

Q. Customer and Account Information
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
- CAT Technical Specifications Working Group (August 15, 2023) - Presentation
Audio file

Topics

B. Reporting Requirements
08/15/2023
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form

Topics

A. General
08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

Topics

A. General
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024

Topics

B. Reporting Requirements

Q. Customer and Account Information
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase

Topics

Q. Customer and Account Information
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General

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