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UPCOMING EVENT
Jul
18
Monthly CAT Update (July 18, 2024)
04:15PM EDT
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10/05/2021
FAQ
M14.
If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
Topics
M. Firm Designated ID
10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
CAT CAIS Technical Specification Working Group Q&A (October 5, 2021) - Presentation
Audio file
Topics
Q. Customer and Account Information
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
Industry Testing Checkpoint Call (September 28, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
09/23/2021
Event
CAT Funding (September 22, 2021)
CAT Funding (September 22, 2021) - Presentation
Audio file
Topics
A. General
09/21/2021
FAQ
A19.
Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?
Topics
A. General
09/21/2021
FAQ
B3.
Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?
Topics
B. Reporting Requirements
09/21/2021
FAQ
B5.
Are all Industry Members required to report NBBO information to the CAT?
Topics
B. Reporting Requirements
09/21/2021
FAQ
I1.
Are orders in foreign securities reportable?
Topics
I. Foreign Securities
09/21/2021
FAQ
K2.
What Industry Member Data will be reportable to the CAT during Phase 2b of the revised implementation schedule?
Topics
K. Options
09/21/2021
FAQ
F2.
When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
Topics
F. Representative Orders
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