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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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11/06/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r7
11/06/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r3
11/04/2020
FAQ
D24. What value should be populated in the deptType field for orders in which a broker-dealer is providing direct market access to customers that are not broker-dealers?

Topics

D. Order Receipt
11/04/2020
Event
Weekly Industry Testing Checkpoint Call (11/03/2020)
- Weekly Industry Testing Checkpoint Call (11/03/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/03/2020
FAQ
B37. How should buy-ins be reported to CAT?

Topics

B. Reporting Requirements
10/29/2020
FAQ
Q13. How should an Industry Member populate the ltidEffectiveDate if it did not record the date on which the LTID or ULTID became associated to the FDID within its systems?

Topics

Q. Customer and Account Information
10/28/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)
- Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/27/2020
Event
Weekly Industry Testing Checkpoint Call (10/27/2020)
- Weekly Industry Testing Checkpoint Call (10/27/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
10/26/2020
FAQ
Q4. Are Industry Members required to report a Legal Entity Identifier (LEI) for their Customers to the CAT?

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Q. Customer and Account Information
10/26/2020
FAQ
D30. Are the material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, required to be reported to CAT?

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D. Order Receipt

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