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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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04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r4
04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
- Monthly CAT Implementation Update (4/15/21)- Presentation
- OATS Retirement Status Update (4/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/15/2021
FAQ
Q20. When is an LTID considered to be reportable into CAIS?

Topics

Q. Customer and Account Information
04/14/2021
Event
Industry Testing Checkpoint Call (April 13, 2021)
- Industry Testing Checkpoint Call (4/13/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/13/2021
Technical Specifications
Customer and Account Industry Member Submission Schema v1.2
04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (4/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/06/2021
FAQ
U19. How should the DVPCustodianID field in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?

Topics

U. Allocations
04/06/2021
FAQ
U24. Is an Industry Member that is a clearing broker required to report an allocation report before all required information about the allocation is known? Specifically, allocations to DVP accounts require the DVPCustodianID field to be populated. How would the clearing firm report an allocation report if the DVPCustodianID is not yet available?

Topics

U. Allocations
04/06/2021
FAQ
U26. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or other non-CAT reportable transaction to CAT?

Topics

U. Allocations
04/06/2021
Event
CAT Technical Specification Working Group Q&A - 4/6/21
- CAT Technical Specification Working Group Q&A - 4/6/21
- April 2021 Technical Specification Update and Time Frames - 4/6/21
Audio file

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B. Reporting Requirements

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