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B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

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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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09/21/2021
FAQ
B53. Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?

Topics

B. Reporting Requirements
09/21/2021
FAQ
B3. Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?

Topics

B. Reporting Requirements
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
09/09/2021
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
08/25/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r4

Topics

B. Reporting Requirements
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

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/10/2021
Event
Industry Testing Checkpoint Call (August 10, 2021)
- Industry Testing Checkpoint Call (August 10, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/03/2021
Event
CAT Technical Specification Working Group Q&A - August 3, 2021
- CAT Technical Specification Working Group Q&A- 8/03/21
- CAT Technical Specification Working Group Presentation- 8/03/21
Audio file

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B. Reporting Requirements

D. Order Receipt

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