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UPCOMING EVENT
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Monthly CAT Update (December 19, 2024)
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07/17/2020
FAQ
U7.
Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
07/17/2020
FAQ
U11.
My firm’s allocations typically occur around 10 pm ET. Is my firm required to report the Post-Trade Allocation events (MEPA) and Option Post-Trade Allocation events (MOPA) by 8 am the next day?
Topics
U. Allocations
07/17/2020
FAQ
U12.
In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?
Topics
U. Allocations
07/17/2020
FAQ
B46.
The newOrderFDID field in the Post-Trade Allocation Event (MEPA) and Amended Allocation Event (MEAA) 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
B. Reporting Requirements
07/14/2020
Event
Weekly Industry Testing Checkpoint Call (7/14/2020)
Weekly Industry Testing Checkpoint Call (7/14/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/14/2020
Event
CAT Technical Specification Working Group Q&A - 7/14/20
2d Requirement for Unique orderID
TRF Corrections and Rejections
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/10/2020
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (July 2020)- Presentation
Audio file
Topics
Q. Customer and Account Information
07/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0
07/08/2020
Event
Weekly Industry Testing Checkpoint Call (7/7/2020)
Weekly Industry Testing Checkpoint Call (7/7/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/01/2020
FAQ
E8.
This FAQ has been retired and archived. Please refer to FAQ B57.
Topics
E. Order Routing and Execution
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