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UPCOMING EVENT
Nov
21
Monthly CAT Update (November 21, 2024)
04:15PM EST
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L. Equity Floor Brokers
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Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.4 (March 23 functionality)
Release 1 - File Submission and Data Integrity Validations
Governance
Industry Recommendations for the Creation of a Consolidated Audit Trail (CAT) (3/28/13)
Technical Specifications
CAT Alert 2018-001- Industry Member Reporting Technical Specifications
Topics
B. Reporting Requirements
Governance
Request to Approve the Participants' 2/19/20 Exemptive Relief Request
Timeline Activity
Industry Members are permitted to begin reporting Quote Sent Time on OMM quotes
Timeline Activity
Industry Members are required to begin reporting Quote Sent Time on OMM quotes
Announcement
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
Announcement
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
Technical Specifications
Technical Specifications for IDQS
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Daily Industry Testing Checkpoint Call (6/17/2020)
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