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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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07/23/2020
Event
Interfirm Linkage Overview (7/22/2020)
Interfirm Linkage Overview (7/22/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/22/2020
Governance
CAT Implementation Plan
Topics
A. General
07/21/2020
Event
Weekly Industry Testing Checkpoint Call (7/21/2020)
Weekly Industry Testing Checkpoint Call (7/21/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List
Topics
A. General
07/17/2020
FAQ
B46.
This FAQ has been retired and archived. Please refer to FAQ U1.
Topics
B. Reporting Requirements
07/17/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0 r1
07/17/2020
FAQ
U3.
When an order is placed directly in a customer account, is the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
07/17/2020
FAQ
U4.
If the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) is not required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA), how will the events be linked?
Topics
U. Allocations
07/17/2020
FAQ
U5.
Are allocations to a firm owned or controlled account required to be reported? For example, a registered representative of a self-clearing broker-dealer exercises discretion over multiple retail customer accounts and originates a single aggregated order that will be allocated to the specific customer accounts post trade. Shares are booked to a firm average price account until the sub-account allocations are made to the individual customer accounts.
Topics
U. Allocations
07/17/2020
FAQ
U6.
Are allocations to DVP accounts required to be reported? For example, an institution places an order with an executing broker-dealer and gives instructions to DVP the shares to two different custodial broker-dealers.
Topics
U. Allocations
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