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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 531 - 540 of 1453 results
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A. General
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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09/16/2021
Reference Material
CAT Funding (September 22, 2021) - Presentation
09/15/2021
Event
Industry Testing Checkpoint Call (September 14, 2021)
Industry Testing Checkpoint Call (September 14, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
09/14/2021
Event
Phase 2d Cutover (September 14, 2021)
Phase 2d Cutover (September 14, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
O. Technical Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
09/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r4
09/09/2021
Event
Monthly CAT Implementation Update (September 9, 2021)
Monthly CAT Implementation Update (September 9, 2021) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
09/07/2021
Event
ARCAOP Pillar Testing in the Test Environment (September 7, 2021)
ARCAOP Pillar Testing in the Test Environment (September 7, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (9/1/21)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
08/31/2021
FAQ
E2.
Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
Topics
E. Order Routing and Execution
08/31/2021
FAQ
U8.
Are allocations to a registered investment advisor (RIA)/money manager’s average price account required to be reported even if the shares are only held there temporarily before being allocated to individual customer accounts? For example, an RIA manages two customer accounts at a self-clearing firm. The RIA places a single order in its account that will be later allocated between the two customer accounts. The shares are booked to an average price account designated for the RIA at the self-clearing firm until the RIA provides subaccount allocation instructions and the allocations are made to the individual customer accounts.
Topics
U. Allocations
08/31/2021
FAQ
U9.
What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
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