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All Topics

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

Sort by

Order

06/16/2021
Event
Phase 2d CAT Reporting Requirements for Open Outcry Trades (June 15, 2021)
- Phase 2d CAT Reporting Requirements for Open Outcry Trades- Recording
Audio file

Topics

B. Reporting Requirements
06/16/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r7
06/15/2021
FAQ
B73. What are the CAT reporting requirements for a scenario where a customer order is received and executed, and an Industry Member makes an accommodation to the customer due to a customer error?

Topics

B. Reporting Requirements
06/15/2021
FAQ
Q48. What address should an Industry Member report to CAT CAIS for accounts that are owned by the Industry Member such as proprietary trading accounts and inventory accounts?

Topics

Q. Customer and Account Information
06/15/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 15, 2021
- CAT CAIS Technical Specification Working Group Q&A (6/15/2021)- Q&A
- CAT CAIS Technical Specification Working Group Q&A (6/15/2021)-Presentation
Audio file

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B. Reporting Requirements

Q. Customer and Account Information
06/11/2021
Timeline Activity
Customer and Account Information - Production Environment Opens

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Q. Customer and Account Information
06/10/2021
Event
Small Firms Roadmap to December 13, 2021 (June 10, 2021)
- Small Firms Roadmap to December 13, 2021 (6/10/2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

T. Production Readiness Testing
06/10/2021
Governance
Notice of Filing of Exemptive Request Letter Related to Unique Order ID on Internal Route Events
06/09/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and CAIS Report Card (June 9, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (6/9/21)- Presentation
- CAIS Report Card Webinar (6/9/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/08/2021
Event
Industry Testing Checkpoint Call (June 8, 2021)
- Industry Testing Checkpoint Call (6/08/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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