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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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03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Clean)
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
- Monthly CAT Implementation Update (3/18/21)- Presentation
- OATS Retirement Status Update (3/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/12/2021
FAQ
B69. How should the price and eventTimestamp fields be populated on a New Order event (MENO)/ Order Accepted event (MEOA) for a trade priced at the Net Asset Value (NAV) if the price is not known until after 4:15:00 pm ET on the date of origination/receipt?

Topics

B. Reporting Requirements
03/11/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)
- Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers- Presentation
Audio file

Topics

B. Reporting Requirements

J. OTC Equity Securities
03/10/2021
Event
Industry Webinar - CAT Connectivity (March 9, 2021)
- Industry Webinar - CAT Connectivity (March 9, 2021)- Presentation
Audio file

Topics

O. Technical Requirements
03/09/2021
FAQ
J2. What are the CAT reporting responsibilities with respect to OTC Link messages?

Topics

J. OTC Equity Securities
03/09/2021
FAQ
B49. This FAQ has been retired. Please refer to FAQ U26.

Topics

B. Reporting Requirements
03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
- CAT Technical Specification Working Group Q&A - 3/9/21
- March 2021 Technical Specification Updates - 3/9/21
Audio file

Topics

B. Reporting Requirements
03/09/2021
FAQ
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?

Topics

J. OTC Equity Securities
03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1- Clean

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