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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

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01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.11
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v3.8
01/08/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r9
01/08/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r5
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.10
01/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2020)- Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
01/05/2021
Event
Weekly Industry Testing Checkpoint Call (1/5/2021)
- Weekly Industry Testing Checkpoint Call (1/5/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
01/04/2021
FAQ
U23. What does the term “booking” mean in relation to the reporting of CAT allocation events?

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U. Allocations
12/29/2020
Event
Weekly Industry Testing Checkpoint Call (12/29/2020)
- Weekly Industry Testing Checkpoint Call (12/29/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
12/18/2020
FAQ
K8. When an Industry Member receives a complex order including an equity leg and solicits interest in the execution of the order, are the equity leg component of the solicitation and the responses to the solicitation reportable in Phase 2a?

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K. Options

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