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A. General

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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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Order

05/04/2021
FAQ
B71. What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?

Topics

B. Reporting Requirements
05/04/2021
FAQ
U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?

Topics

U. Allocations
05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- Reporting and Repair Deadlines and Examples - 5/4/21
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
05/04/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r5
04/30/2021
Reference Material
Sample Customer and Account Reporting Disclosure Form
04/28/2021
Event
Industry Testing Checkpoint Call (April 27, 2021)
- Industry Testing Checkpoint Call (4/27/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/27/2021
FAQ
U27. How should Industry Members populate the settlementDate field for allocations in “when-issued” securities?

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U. Allocations
04/26/2021
FAQ
A29. What broker-dealers are considered Small Industry Members?

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A. General
04/20/2021
FAQ
M4. Which Firm Designated ID (FDID) must be provided in scenarios involving managed accounts where an order may be placed in a master account with subaccount allocations made at a later time?

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M. Firm Designated ID
04/20/2021
FAQ
M8. When will Industry Members be required to report the Firm Designated ID (FDID) to the CAT?

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M. Firm Designated ID

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