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B. Reporting Requirements
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Latest Updates
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12/05/2019
Event
CAT Technical Specification Working Group Q&A – 12/5/2019
12/02/2019
Announcement
Participants of the CAT NMS Plan Response to SIFMA Letter
11/21/2019
Event
CAT Technical Specification Working Group Q&A – 11/21/2019
11/20/2019
Governance
New Proposed CAT NMS Plan Amendment related to FDID
11/19/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.0.0
11/19/2019
Event
Industry Webinar - CAT Reporter Portal Industry Webinar and Demo (11/18/2019)
11/07/2019
Event
CAT Technical Specification Working Group Q&A – 11/07/2019
11/01/2019
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.0 Draft 1 (2c)
10/30/2019
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1-r1
10/29/2019
Event
Industry Webinar - CAT Reporter Portal Overview and Key Dates (10/28/2019)
10/24/2019
FAQ
| R. Clock Synchronization
R6.
Must broker-dealers maintain a log of the times clocks are synchronized?
10/24/2019
FAQ
| R. Clock Synchronization
R2.
If I am an agency broker-dealer and I send my orders through a third-party service provider’s system (e.g., Bloomberg), what clock synchronization compliance obligations do I have with regard to the third-party service provider’s clocks and my own clocks? Do I need to do anything with regard to the internal systems (e.g., internal PCs or servers) or clocks within my own firm to satisfy the clock synchronization requirements?
10/16/2019
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information
10/14/2019
FAQ
| C. Definitions
C6.
What is the definition of a “cabinet” order for purposes of the “orderType” field for Exchange-listed options in the CAT Reporting Technical Specifications for Industry Members?
10/10/2019
Event
CAT Technical Specification Working Group Q&A - 10/10/2019
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