Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
Add To My Calendar
Displaying 621 - 630 of 1453 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
Filter by Topic
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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13 (Redlined)
Topics
B. Reporting Requirements
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13
05/07/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r2
05/06/2021
FAQ
K6.
When an Industry Member receives a simple electronic order in Listed Options and solicits interest in the execution of the order, are the solicitation and the responses to the solicitation reportable in Phase 2b?
Topics
K. Options
05/06/2021
FAQ
K12.
The concept of selling long or short is not applicable to options. How should the side field be populated on options events for a sell order?
Topics
K. Options
05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (5/5/21)- Presentation
TID Creation Webinar (5/5/21)- Presentation
Audio file
Topics
M. Firm Designated ID
P. Feedback and Error Correction
Q. Customer and Account Information
05/05/2021
Reference Material
Plan Amendment Related to Revised Funding Model- Additional Details 5/5/21
05/04/2021
FAQ
B71.
What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?
Topics
B. Reporting Requirements
05/04/2021
FAQ
U25.
Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?
Topics
U. Allocations
05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
Reporting and Repair Deadlines and Examples - 5/4/21
Audio file
Topics
B. Reporting Requirements
Q. Customer and Account Information
Pagination
«
« First
‹
‹ Previous
…
59
60
61
62
63
64
65
66
67
…
›
Next ›
»
Last »