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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

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12/01/2020
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0 r1
11/19/2020
Event
Monthly CAT Implementation Update (11/19/20)
- Monthly CAT Implementation Update (11/19/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/18/2020
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
11/18/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r3
11/17/2020
FAQ
B12. Are Industry Members required to report the equity leg of a complex order in Phase 2a of the revised implementation schedule?

Topics

B. Reporting Requirements
11/17/2020
FAQ
B57. How should the orderType and handlingInstructions fields be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders?

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B. Reporting Requirements
11/17/2020
Event
Weekly Industry Testing Checkpoint Call (11/17/2020)
- Weekly Industry Testing Checkpoint Call (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/17/2020
Event
Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)
- Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
11/17/2020
FAQ
B67. FAQ B57 provides guidance on how the handlingInstructions field should be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders. In instances where it is known that the order is a Stop order, but the exact stop price is unknown because it is either based on an underlying condition or will be determined by the destination venue, then how should the Stop be reported in the handlingInstructions?

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B. Reporting Requirements
11/10/2020
Event
Weekly Industry Testing Checkpoint Call (11/10/2020)
- Weekly Industry Testing Checkpoint Call (11/10/2020)-Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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