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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

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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

U. Allocations

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04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1 (Redlined)
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
- Weekly Industry Testing Checkpoint Call (4/14/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/14/2020
FAQ
B2. What are the timestamp requirements for reporting information to the CAT?

Topics

B. Reporting Requirements
04/14/2020
FAQ
B8. How should an Industry Member report timestamps to the CAT if its order handling and order execution systems use different timestamp increments?

Topics

B. Reporting Requirements
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers

Topics

A. General
04/14/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID

Topics

A. General
04/09/2020
Event
CAT Technical Specification Working Group Q&A - 4/9/20
- CAT Technical Specification Working Group Q&A 4/9/20- Presentation
Audio file

Topics

B. Reporting Requirements

T. Production Readiness Testing
04/08/2020
Event
Weekly Industry Testing Checkpoint Call (4/7/2020)
- Weekly Industry Testing Checkpoint Call (4/7/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/08/2020
FAQ
B48. If an Industry Member manually initiates a proprietary equities order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?

Topics

B. Reporting Requirements
04/08/2020
Governance
SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity

Topics

B. Reporting Requirements

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