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UPCOMING EVENT
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Monthly CAT Update (December 19, 2024)
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11/21/2019
Event
CAT Technical Specification Working Group Q&A – 11/21/2019
CAT Technical Specification Working Group Q&A – 11/21/2019 - Questions
2a/2b Industry Test Plan Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
11/20/2019
Governance
New Proposed CAT NMS Plan Amendment related to FDID
Topics
A. General
M. Firm Designated ID
11/19/2019
Event
Industry Webinar - CAT Reporter Portal Industry Webinar and Demo (11/18/2019)
CAT Reporter Portal Industry Webinar and Demo (11/18/2019) - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
11/19/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.0.0
11/07/2019
Event
CAT Technical Specification Working Group Q&A – 11/07/2019
CAT Technical Specification Working Group Q&A - 11/07/2019 - Questions
IMID List and IMID Conflicts List
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
11/01/2019
Technical Specifications
Industry Member Technical Specifications (2c) v3.0 Draft 1
10/30/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r1
10/29/2019
Event
Industry Webinar - CAT Reporter Portal Overview and Key Dates (10/28/2019)
CAT Reporter Portal Overview Industry Webinar - Presentation
Audio file
Topics
P. Feedback and Error Correction
10/24/2019
FAQ
R6.
Must broker-dealers maintain a log of the times clocks are synchronized?
Topics
R. Clock Synchronization
10/24/2019
FAQ
R2.
If I am an agency broker-dealer and I send my orders through a third-party service provider’s system (e.g., Bloomberg), what clock synchronization compliance obligations do I have with regard to the third-party service provider’s clocks and my own clocks? Do I need to do anything with regard to the internal systems (e.g., internal PCs or servers) or clocks within my own firm to satisfy the clock synchronization requirements?
Topics
R. Clock Synchronization
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