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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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A. General
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03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
Industry Testing Checkpoint Call (March 30, 2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
03/31/2021
Reference Material
Plan Amendment Related to Revised Funding Model 3/31/21
03/24/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r1
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
J. OTC Equity Securities
03/23/2021
FAQ
A33.
Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?
Topics
A. General
03/23/2021
Event
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021)
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021) - Presentation
Audio file
03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Clean)
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
Monthly CAT Implementation Update (3/18/21)- Presentation
OATS Retirement Status Update (3/18/21)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
03/12/2021
FAQ
B69.
How should the price and eventTimestamp fields be populated on a New Order event (MENO)/ Order Accepted event (MEOA) for a trade priced at the Net Asset Value (NAV) if the price is not known until after 4:15:00 pm ET on the date of origination/receipt?
Topics
B. Reporting Requirements
03/11/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers- Presentation
Audio file
Topics
B. Reporting Requirements
J. OTC Equity Securities
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