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All Topics

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

Sort by

Order

01/07/2020
Event
Weekly Industry Testing Checkpoint Call (1/7/2020)
- Weekly Industry Checkpoint 1/7/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/07/2020
FAQ
D1. This FAQ has been moved to section I. Foreign Securities, as FAQ I8.

Topics

D. Order Receipt
01/07/2020
FAQ
I8. If a non-US broker-dealer routes an order to a US broker-dealer, how is the US broker-dealer required to report the receipt of the order to the CAT?

Topics

I. Foreign Securities
01/02/2020
Event
Weekly Industry Testing Checkpoint Call (12/30/2019)
- Industry Test Release Status (12/30/2019) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/30/2019
Announcement
Notice Address Language for CAT Reporter Agreement & CAT Reporting Agent Agreement

Topics

S. Security
12/23/2019
FAQ
D27. Are firms that provide sponsored access/direct market access required to report handling instructions on their new orders for handling instructions not intended for the sponsored access/direct market access provider but for the destination market center?

Topics

D. Order Receipt
12/19/2019
Event
CAT Technical Specification Working Group Q&A – 12/19/2019
- CAT Technical Specification Working Group Q&A – 12/19/2019 - Questions
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/18/2019
Event
Industry Webinar - Industry Test Release 1.2 Go-Live Checkpoint and CAT Reporter Portal Demo (12/17/2019)
- Industry Test Release Status (12/17/2019) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/18/2019
Event
Industry Webinar – Initial CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID (12/18/2019)
- CAT Customer and Account Information System (CAIS) Specification for Firm Designated ID (FDID) and Large Trader ID (LTID)
Audio file

Topics

B. Reporting Requirements

M. Firm Designated ID

Q. Customer and Account Information
12/13/2019
Technical Specifications
CAT Reporting Customer & Account Technical Specifications for Industry Members v1.0 Draft

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