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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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08/11/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4
08/07/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1
08/04/2020
Event
Weekly Industry Testing Checkpoint Call (8/4/2020)
- Weekly Industry Testing Checkpoint Call (8/4/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
07/29/2020
Event
Weekly Industry Testing Checkpoint Call (7/28/2020)
- Weekly Industry Testing Checkpoint Call (7/28/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/29/2020
Event
CAT Compliance Industry Webinar (7/29/2020)
- CAT Compliance Industry Webinar (7/29/2020)- Presentation
Audio file
07/28/2020
FAQ
E30. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this apply if the trade is reversed in the FINRA Facility on a subsequent day?

Topics

E. Order Routing and Execution
07/23/2020
Event
Interfirm Linkage Overview (7/22/2020)
- Interfirm Linkage Overview (7/22/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
07/22/2020
Governance
CAT Implementation Plan

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A. General
07/21/2020
Event
Weekly Industry Testing Checkpoint Call (7/21/2020)
- Weekly Industry Testing Checkpoint Call (7/21/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List

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A. General

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