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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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11/30/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r8
11/24/2021
Technical Specifications
Transition Support: Schema Changes to Existing Phase 2c Events v1.3

Topics

B. Reporting Requirements
11/23/2021
Event
Industry Testing Checkpoint Call (November 23, 2021)
- Industry Testing Checkpoint Call (November 23, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/23/2021
FAQ
K21. When must cancel information be reported for an Option Trade Event (“MOOT”)?

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K. Options
11/19/2021
Event
Monthly CAT Implementation Update (November 18, 2021)
- Monthly CAT Implementation Update (November 18, 2021)- Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2021
Event
Industry Testing Checkpoint Call (November 16, 2021)
- Industry Testing Checkpoint Call (November 16, 2021) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
11/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 16, 2021
- CAT CAIS Technical Specifications Working Group Q&A (November 16, 2021)- Q&A
- CAT CAIS Technical Specifications Working Group Q&A (November 16, 2021)- Presentation
Audio file

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Q. Customer and Account Information
11/16/2021
FAQ
P6. Can previously accepted records be corrected?

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P. Feedback and Error Correction
11/16/2021
FAQ
P10. When must an Industry Member resubmit a file that is rejected by CAT?

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P. Feedback and Error Correction
11/16/2021
FAQ
P13. If a GTC limit order is executed several months after receipt of the order, will CAT reject the Trade Event?

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P. Feedback and Error Correction

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