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A. General

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F. Representative Orders

G. Manual Orders

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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

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T. Production Readiness Testing

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05/05/2020
FAQ
B50. Is the conversion of a convertible bond to an equity required to be reported to CAT?

Topics

B. Reporting Requirements
05/05/2020
FAQ
B51. Are ETF creations and redemptions required to be reported to CAT?

Topics

B. Reporting Requirements
05/05/2020
FAQ
B52. Are American Depository Receipt (ADR) creations and cancellations required to be reported to CAT?

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B. Reporting Requirements
04/30/2020
Announcement
Audited Financial Statements

Topics

A. General
04/28/2020
Event
Weekly Industry Testing Checkpoint Call (4/28/2020)
- Weekly Industry Testing Checkpoint Call (4/28/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
04/27/2020
FAQ
A6. When will Large Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A7. When will Small Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A31. If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?

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A. General
04/27/2020
Reference Material
Notice of Filing of Exemptive Request Letter related to Allocation Reports
04/23/2020
Event
CAT Technical Specification Working Group Q&A - 4/23/20
- CAT Technical Specification Working Group Q&A 4/23/20- Presentation
- FDID- LTID Tech Spec Updates Summary
Audio file

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B. Reporting Requirements

Q. Customer and Account Information

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