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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

W. Fee Dispute Resolution

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08/31/2021
FAQ
U10. Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?

Topics

U. Allocations
08/31/2021
FAQ
U14. When may the Amended Allocation/Option Amended Allocation (MEAA/MOAA) events be reported to CAT?

Topics

U. Allocations
08/31/2021
Event
CAT CAIS Technical Specification Working Group - August 31, 2021
- CAT CAIS Technical Specification Working Group (8/31/21) - Presentation
Audio file

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Q. Customer and Account Information
08/26/2021
Announcement
2021 Consolidated Audit Trail Advisory Committee List

Topics

A. General
08/25/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r4

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B. Reporting Requirements
08/24/2021
FAQ
D37. Are Industry Members that provide sponsored access/direct market access required to report the ‘DIR’ handlingInstructions value on the Order Accepted or New Order event?

Topics

D. Order Receipt
08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - August 17, 2021
- CAT CAIS Technical Specification Working Group Q&A (8/17/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
08/16/2021
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

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A. General
08/10/2021
Event
Industry Testing Checkpoint Call (August 10, 2021)
- Industry Testing Checkpoint Call (August 10, 2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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