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UPCOMING EVENT

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Monthly CAIS/LTID Industry Testing Checkpoint Call (February...

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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

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R. Clock Synchronization

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T. Production Readiness Testing

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12/15/2021
Event
Industry Testing Checkpoint Call (December 14, 2021)
- Industry Testing Checkpoint Call (December 14, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/14/2021
Event
CAT CAIS Technical Specification Working Group Q&A - December 14, 2021
Audio file

Topics

Q. Customer and Account Information
12/14/2021
FAQ
F1. What is a representative order?

Topics

F. Representative Orders
12/14/2021
FAQ
E10. Can an order be marked as Short Exempt on the Order Route event if the order was reported as a regular short sale on the related New Order event?

Topics

E. Order Routing and Execution
12/09/2021
Reference Material
December 8, 2021 Letter to SEC- Withdrawal of Funding Model Amendment
12/08/2021
Technical Specifications
Industry Member Reporting Scenarios v4.8

Topics

B. Reporting Requirements
12/08/2021
Event
Industry Testing Checkpoint Call (December 7, 2021)
- Industry Testing Checkpoint Call (December 7, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/08/2021
Technical Specifications
Industry Member Reporting Scenarios v4.8 (Redlined)

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B. Reporting Requirements
12/07/2021
FAQ
B76. Are Industry Members required to report Route Cancelled events to CAT for “mass cancels” initiated by a single instruction given to an execution venue?

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B. Reporting Requirements
12/07/2021
CAT Alert
CAT Alert 2021-03-Phase 2d: Transitioning from Phase 2c and Coordinated Industry Tests

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing

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