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UPCOMING EVENT
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18
Monthly CAT Update (April 18, 2024)
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05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3
Topics
B. Reporting Requirements
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12
05/20/2021
Announcement
Simplified Login Screen
Topics
A. General
05/18/2021
FAQ
A26.
Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
Topics
A. General
05/18/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (May 18, 2021)
CAIS Tech Spec Update (5/18/2021)- Presentation
Audio file
Topics
M. Firm Designated ID
Q. Customer and Account Information
05/18/2021
FAQ
C8.
The IM Technical Specifications state that “Industry Members are required to report responses to RFQs and other forms of solicitation that are firm expressions of interest to trade”. How are “other forms of solicitation” defined for CAT reporting purposes?
Topics
C. Definitions
05/18/2021
FAQ
M17.
Is an Industry Member permitted to submit a different firmDesignatedID to CAIS than was populated as the firmDesignatedID on the related Transaction Order event for a specific trading account, Relationship ID or Entity ID within the firm?
Topics
M. Firm Designated ID
05/18/2021
FAQ
Q46.
How should Industry Members populate the customerType field for a Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?
Topics
Q. Customer and Account Information
05/18/2021
FAQ
Q47.
How should Industry Members utilize the ‘ADVISER’ value in the customerType field?
Topics
Q. Customer and Account Information
05/18/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement (May 18, 2021)
Topics
A. General
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