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A. General

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I. Foreign Securities

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M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

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10/21/2021
FAQ
B45. Are electronic responses to a Request for Quote (RFQ) or other forms of solicitation responses reportable to CAT in Phase 2c (equities) and Phase 2d (options)?

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B. Reporting Requirements
10/21/2021
FAQ
K15. How must the priceType field be populated on multi-leg events?

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K. Options
10/21/2021
Event
Monthly CAT Implementation Update (October 21, 2021)
- Monthly CAT Implementation Update (October 21, 2021) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/19/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 19, 2021
- CAT CAIS Technical Specification Working Group Q&A (October 19, 2021) - Presentation
Audio file

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Q. Customer and Account Information
10/19/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r6
10/15/2021
FAQ
K5. Is the ‘OPT’ handling instruction appropriate for Buy/Writes or option exercises and assignments?

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K. Options
10/15/2021
FAQ
K14. Is it appropriate to use the 'OPT' handling instruction when an equity order does not become executable until a related option trade has been executed, but is not part of a complex order such as a Buy/Write?

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K. Options
10/14/2021
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID for Foreign Customers
10/14/2021
Governance
Notice of Filing of Exemptive Request Letter Related to Reporting Addresses
10/13/2021
Event
LTID to Full CAIS Cutover (October 13, 2021)
- LTID to Full CAIS Cutover (October 13, 2021) - Presentation
Audio file

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Q. Customer and Account Information

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