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UPCOMING EVENT
May
15
Monthly CAT Update (May 15, 2025)
04:15PM EDT
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07/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (July 7, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (7/7/21)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
06/29/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 29, 2021
CAT CAIS Technical Specification Working Group Q&A (6/29/21)- Q&A
Audio file
Topics
B. Reporting Requirements
Q. Customer and Account Information
06/29/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.0
06/25/2021
FAQ
U1.
The newOrderFDID field in the Post-Trade Allocation/Option Post-Trade Allocation Event (MEPA/MOPA) and Amended Allocation/Option Amended Allocation Event (MEAA/MOAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?
Topics
U. Allocations
06/24/2021
Event
Phase 2d Industry Webinar (June 24, 2021)
Phase 2d Industry Webinar (6/25/21)- Presentation
Audio file
Topics
B. Reporting Requirements
06/23/2021
FAQ
U17.
Are changes to CAT reportable attributes of an allocation after the original booking of shares/contracts that occur post-settlement required to be reported to CAT as an Amended Allocation/Option Amended Allocation (MEAA/MOAA) event?
Topics
U. Allocations
06/22/2021
Event
CAT Technical Specification Working Group ( June 22, 2021)
Technical Specifications Updates Presentation - 6/22/21
Audio file
Topics
B. Reporting Requirements
D. Order Receipt
06/21/2021
FAQ
U18.
Are Industry Members required to report Amended Allocation/Option Amended Allocation events (MEAA/MOAA) for allocations which occurred before the date an Industry Member is required to report allocation events to CAT?
Topics
U. Allocations
06/21/2021
FAQ
U21.
Is the side value ‘SX’ (Short Sale Exempt) required to be reported on a Post-Trade Allocation (MEPA) event?
Topics
U. Allocations
06/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (June 17, 2021)
Monthly CAT Implementation Update- Presentation
FINRA (SRO) Status Update on OATS Retirement- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
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