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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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02/24/2020
Governance
CAT System Terms of Use
02/21/2020
Technical Specifications
Industry Member Technical Specification Update List
02/20/2020
Event
Industry Webinar - FDID Refresher and Introduction to Allocation Reporting (2/19/2020)
- FDID Refresher and Introduction to Allocation Reporting (2/19/2020) - Presentation
Audio file

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M. Firm Designated ID

U. Allocations
02/19/2020
Event
Weekly Industry Testing Checkpoint Call (2/18/2020)
- Weekly Industry Testing Checkpoint Call (2/18/2020) - Presentation with Screenshots
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/19/2020
Governance
Notice of Filing of Exemptive Request Letter related to the Implementation of a Phased Industry Member Reporting Timeline
02/12/2020
Event
Weekly Industry Testing Checkpoint Call (2/11/2020)
- Industry Test Release Status 2/11/2020 - Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/12/2020
Technical Specifications
CAT Industry Member Reporting Scenarios v2.5
02/12/2020
Governance
Notice of Filing of Exemptive Request Letter related to Data Facility Reporting and Linkage
02/11/2020
FAQ
A30. If a firm meets the definition of a Small Industry Member at the time its audited financial statements are prepared, but its total capital subsequently exceeds $500,000 prior to the Small Industry Member deadline of December 2021, must it immediately start reporting to CAT as a Large Industry Member?

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A. General
02/11/2020
FAQ
K11. Can an Industry Member choose to report manual option events in Phase 2b, though they are not required until Phase 2d?

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K. Options

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