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A. General

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C. Definitions

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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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04/27/2020
FAQ
A6. When will Large Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A7. When will Small Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A31. If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?

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A. General
04/27/2020
Reference Material
Notice of Filing of Exemptive Request Letter related to Allocation Reports
04/23/2020
Event
CAT Technical Specification Working Group Q&A - 4/23/20
- CAT Technical Specification Working Group Q&A 4/23/20- Presentation
- FDID- LTID Tech Spec Updates Summary
Audio file

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B. Reporting Requirements

Q. Customer and Account Information
04/21/2020
CAT Alert
CAT Alert 2018-003 - IMID usage for CAT data submissions and in order routing events

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B. Reporting Requirements

E. Order Routing and Execution
04/21/2020
Event
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)
- Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1 r4

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