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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
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11/12/2021
FAQ
B54.
This FAQ was retired and archived concurrent with OATS retirement. Please see FAQ B2 for more information on the timestamp requirements for CAT.
Topics
B. Reporting Requirements
11/12/2021
FAQ
B54.
Do the timestamps captured in CAT have to equal the timestamps captured in OATS? For example, if a firm’s system captures nanoseconds, but timestamps are reported to OATS in milliseconds, should the timestamp reported to CAT be captured in nanoseconds?
Topics
B. Reporting Requirements
11/10/2021
Event
Industry Testing Checkpoint Call (November 9, 2021)
Industry Testing Checkpoint Call (November 9, 2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
11/05/2021
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID for Each Foreign Customer
11/04/2021
Reference Material
Appendix E - Country Codes
11/04/2021
FAQ
K23.
What CAT reportable events are required when at least one but not all legs of a multi-leg strategy are known at the time the instruction is given from one Industry Member to another Industry Member?
Topics
K. Options
11/04/2021
FAQ
K22.
What reportable events are CAT Reporters required to report to the CAT when using an algorithmic strategy involving multiple component securities (for example, a Vega algorithm), where the trading instructions do not include the full materials terms of an order for each or any component security?
Topics
K. Options
11/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (November 3, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (11/3/21)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
11/03/2021
Technical Specifications
Industry Member Reporting Scenarios v4.7
Topics
B. Reporting Requirements
11/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 2, 2021
CAT CAIS Technical Specification Working Group Q&A (November 2, 2021) - Presentation
Audio file
Topics
Q. Customer and Account Information
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