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UPCOMING EVENT

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Monthly CAIS/LTID Industry Testing Checkpoint Call (February...

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11/04/2021
FAQ
K23. What CAT reportable events are required when at least one but not all legs of a multi-leg strategy are known at the time the instruction is given from one Industry Member to another Industry Member?

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K. Options
11/04/2021
FAQ
K22. What reportable events are CAT Reporters required to report to the CAT when using an algorithmic strategy involving multiple component securities (for example, a Vega algorithm), where the trading instructions do not include the full materials terms of an order for each or any component security?

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K. Options
11/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (November 3, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (11/3/21)- Presentation
Audio file

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P. Feedback and Error Correction

Q. Customer and Account Information
11/03/2021
Technical Specifications
Industry Member Reporting Scenarios v4.7

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B. Reporting Requirements
11/02/2021
FAQ
D10. How should orders received with instructions from the customer to buy as much stock as possible for a specific dollar amount (e.g., $1,000), commonly referred to as "cash" orders, be reported to CAT?

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D. Order Receipt
11/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 2, 2021
- CAT CAIS Technical Specification Working Group Q&A (November 2, 2021) - Presentation
Audio file

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Q. Customer and Account Information
11/02/2021
FAQ
J6. What are the reporting requirements for quotes entered directly into OTC Link IDQS via OTC Link IDQS’s Dealer Application?

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J. OTC Equity Securities
10/27/2021
Event
Industry Testing Checkpoint Call (October 26, 2021)
- Industry Testing Checkpoint Call (October 26, 2021) - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
10/21/2021
FAQ
B45. Are electronic responses to a Request for Quote (RFQ) or other forms of solicitation responses reportable to CAT in Phase 2c (equities) and Phase 2d (options)?

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B. Reporting Requirements
10/21/2021
FAQ
K15. How must the priceType field be populated on multi-leg events?

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K. Options

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