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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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07/27/2021
FAQ
J5.
The Industry Member Technical Specifications state that “If the status of a quote that was sent by an Industry Member to an Industry Member inter-dealer quotation system is changed as a result of an automatic process, then a Quote Status event is only required to be reported by the inter-dealer quotation system.” How is an ‘Automatic Process’ defined for the purpose of reporting Quote Status events to CAT?
Topics
J. OTC Equity Securities
07/27/2021
Event
CAT CAIS Technical Specification Working Group Q&A - July 27, 2021
CAT CAIS Technical Specification Working Group Q&A (7/27/2021)-Presentation
Audio file
Topics
Q. Customer and Account Information
07/22/2021
Event
Multi-Leg/Complex Option Order (July 21, 2021)
Multi-Leg/Complex Option Order (July 21, 2021)- Presentation
Audio file
Topics
B. Reporting Requirements
K. Options
07/22/2021
Announcement
2021 Business Clock Synchronization Survey
Topics
B. Reporting Requirements
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
Monthly CAT Implementation Update (7/15/21)- Presentation
OATS Retirement Status Update (7/15/21)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
07/16/2021
Technical Specifications
Industry Member Reporting Scenarios v4.5
Topics
B. Reporting Requirements
07/14/2021
Event
Industry Testing Checkpoint Call (July 13, 2021)
Industry Testing Checkpoint Call (July 13, 2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/14/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r2
07/13/2021
FAQ
D29.
How should Industry Members populate handling instructions for orders received or originated with instructions to work the order using a trading algorithm?
Topics
D. Order Receipt
07/13/2021
FAQ
B66.
When is the Order Effective event/Option Order Effective event (MEOE/MOOE) required to be reported to CAT?
Topics
B. Reporting Requirements
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