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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

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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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05/23/2023
FAQ
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or Input Identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?

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Q. Customer and Account Information
05/22/2023
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
- Monthly CAT Update (May 18, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/18/2023
Governance
Response to Comments on Proposed CAT NMS Plan Amendment Related to Funding Proposal
05/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023) - Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
04/28/2023
Reference Material
Q1 2023 QPR
04/21/2023
FAQ
D10. How should orders received with instructions from the customer to buy as much stock as possible for a specific dollar amount (e.g., $1,000), commonly referred to as "cash" orders, be reported to CAT?

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D. Order Receipt
04/21/2023
Event
Monthly CAT Update (April 20, 2023)
- Monthly CAT Update (April 20, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/20/2023
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r19
04/19/2023
Governance
Extension Request Letter Related to the July 8 Order

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