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Monthly CAT Update (June 26, 2025)

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Displaying 1411 - 1420 of 1504 results

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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

W. Fee Dispute Resolution

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Timeline Activity
Industry Test Release 1.3
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.4
Release 1 - File Submission and Data Integrity Validations
Event
Weekly Industry Checkpoint Call (3/24/2020)
- Weekly Industry Testing Checkpoint Call (3/24/2020)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2a reporting
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Go-Live for Equities 2a file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2b reporting
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Go-Live for Options 2b file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
LTID Technical Specification Published

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Q. Customer and Account Information
Timeline Activity
LTID Account Information Testing Environment Opens

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Q. Customer and Account Information

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