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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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10/05/2021
FAQ
M3. Can a Firm Designated ID (FDID) change each Trading Day?

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M. Firm Designated ID
10/05/2021
FAQ
M6. If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?

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M. Firm Designated ID
10/05/2021
FAQ
M12. Where can I find additional information regarding the Firm Designated Identifier (FDID)?

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M. Firm Designated ID
10/05/2021
FAQ
M10. CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?

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M. Firm Designated ID
10/05/2021
FAQ
M14. If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?

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M. Firm Designated ID
10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
- CAT CAIS Technical Specification Working Group Q&A (October 5, 2021) - Presentation
Audio file

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Q. Customer and Account Information
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
- Industry Testing Checkpoint Call (September 28, 2021) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
09/23/2021
Event
CAT Funding (September 22, 2021)
- CAT Funding (September 22, 2021) - Presentation
Audio file

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A. General
09/21/2021
FAQ
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?

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A. General
09/21/2021
FAQ
B3. Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?

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B. Reporting Requirements

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