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A. General

B. Reporting Requirements

C. Definitions

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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

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01/26/2021
FAQ
D26. What is the difference between ‘CND’ and ‘CMC’ handlingInstructions?

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D. Order Receipt
01/26/2021
FAQ
B70. How should the price and eventTimestamp fields be populated on a Trade Event (MEOT) for a trade priced at the Net Asset Value (NAV)?

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B. Reporting Requirements
01/26/2021
FAQ
I10. When must the senderType field be populated with a value of ‘O’?

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I. Foreign Securities
01/26/2021
FAQ
I11. When must the destinationType field be populated with a value of ‘O’?

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I. Foreign Securities
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
- Monthly CAT Implementation Update (1/21/21)- Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2021
Event
Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)
- Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)- Presentation
Audio file

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B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
01/19/2021
Event
CAT Technical Specification Working Group Q&A - 1/19/21
- Technical Specifications Updates Presentation - 1/19/21
- CAT Technical Specification Working Group Q&A - 1/19/21
Audio file

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B. Reporting Requirements
01/19/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0 r2
01/12/2021
FAQ
B21. How should Exchange for Physicals ("EFP") transactions be reported to CAT?

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B. Reporting Requirements
01/12/2021
FAQ
B63. How should the initiator field be populated if an Industry Member modifies or cancels an order based on implicit customer instructions communicated with the order, such as with certain ATS order types, as well as for actions initiated by the Industry Member unilaterally as a direct result of customer modifications or cancellations?

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B. Reporting Requirements

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