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UPCOMING EVENT
May
15
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08/12/2020
Event
LTID Submission Webinar (8/12/2020)
LTID Submission Webinar (8/12/2020)- Presentation
Audio file
Topics
M. Firm Designated ID
Q. Customer and Account Information
T. Production Readiness Testing
08/12/2020
FAQ
B64.
If executions against an order are tracked throughout the day but a single average price fill is provided to the client after the order is completed or at the end of the day, are fulfillments required throughout the day with a fulfillment amendment requirement with each new execution?
Topics
B. Reporting Requirements
08/12/2020
FAQ
N7.
If a firm uses a third party CAT Reporting Agent to submit data on its behalf, can the firm satisfy its CAT recordkeeping obligations by having the third party retain the data and provide it upon request?
Topics
N. Third Party Reporting
08/11/2020
Event
Weekly Industry Testing Checkpoint Call (8/11/2020)
Weekly Industry Testing Checkpoint Call (8/11/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
08/11/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r5
08/11/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r1
08/11/2020
Reference Material
Industry Member Reporting Scenarios v2.7
08/11/2020
Reference Material
Industry Member Reporting Scenarios v2.7 (Redlined)
08/11/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4
08/07/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1
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