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Below is a summary of all available content.

UPCOMING EVENT

Nov

21

Monthly CAT Update (November 21, 2024)

04:15PM EST

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Displaying 1341 - 1350 of 1452 results

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All Topics

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

W. Fee Dispute Resolution

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Timeline Activity
Test Environment Opens for Options Phase 2d reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Options 2d reporting requirements
Timeline Activity
Customer and Account Information - Test Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Compliance Go-Live

Topics

Q. Customer and Account Information
Timeline Activity
Private Line available for network testing (BT Radianz and Century Link)
Release 1 - File Submission and Data Integrity Validations

Topics

O. Technical Requirements
Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Plan Participant UAT begins for Industry Test Release 1.1 (November 18 functionality) and Reference Data Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations

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