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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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Order

07/14/2020
Event
CAT Technical Specification Working Group Q&A - 7/14/20
- 2d Requirement for Unique orderID
- TRF Corrections and Rejections
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/10/2020
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview
- CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (July 2020)- Presentation
Audio file

Topics

Q. Customer and Account Information
07/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0
07/08/2020
Event
Weekly Industry Testing Checkpoint Call (7/7/2020)
- Weekly Industry Testing Checkpoint Call (7/7/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
07/01/2020
FAQ
E8. This FAQ has been retired. Please refer to FAQ B57.

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E. Order Routing and Execution
07/01/2020
FAQ
E9. This FAQ has been retired. Please refer to FAQ B58.

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E. Order Routing and Execution
07/01/2020
FAQ
D28. This FAQ has been retired. Please refer to FAQ B58.

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D. Order Receipt
07/01/2020
FAQ
E3. BD A, an Industry Member CAT Reporter, receives a customer order for 10,000 shares and subsequently routes 2,000 shares of the order to Exchange A, another CAT Reporter. BD A’s trader or trading system subsequently modifies the price of the 2,000 share order routed to Exchange A. Is BD A required to report the modification of the 2,000 share order routed to Exchange A?

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E. Order Routing and Execution
07/01/2020
Event
Separation of Production and Test User Accounts
- Separation of Production and Test User Accounts- Presentation
Audio file

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A. General
07/01/2020
Event
Weekly Industry Testing Checkpoint Call (6/30/2020)
- Weekly Industry Testing Checkpoint Call (6/30/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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