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UPCOMING EVENT
May
15
Monthly CAT Update (May 15, 2025)
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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
08/04/2020
Event
Weekly Industry Testing Checkpoint Call (8/4/2020)
Weekly Industry Testing Checkpoint Call (8/4/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
07/29/2020
Event
Weekly Industry Testing Checkpoint Call (7/28/2020)
Weekly Industry Testing Checkpoint Call (7/28/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
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