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UPCOMING EVENT
Apr
17
Monthly CAT Update (April 17, 2025)
04:15PM EDT
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L. Equity Floor Brokers
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N. Third Party Reporting
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01/14/2020
FAQ
T2.
How will Industry Members that use multiple CAT Reporting Agents (“CRA”) be certified for production?
Topics
T. Production Readiness Testing
01/14/2020
FAQ
T3.
If the production readiness submission has an error rate exceeding 10%, can the data be corrected and resubmitted for a subsequent certification attempt?
Topics
T. Production Readiness Testing
01/14/2020
FAQ
T5.
If an Industry Member successfully certifies for Phase 2a equity submissions, must it recertify for Phase 2b options submissions?
Topics
T. Production Readiness Testing
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
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