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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
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04/27/2020
FAQ
A31.
If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?
Topics
A. General
04/27/2020
Reference Material
Notice of Filing of Exemptive Request Letter related to Allocation Reports
04/23/2020
Event
CAT Technical Specification Working Group Q&A - 4/23/20
CAT Technical Specification Working Group Q&A 4/23/20- Presentation
FDID- LTID Tech Spec Updates Summary
Audio file
Topics
B. Reporting Requirements
Q. Customer and Account Information
04/21/2020
CAT Alert
CAT Alert 2018-003 - IMID usage for CAT data submissions and in order routing events
Topics
B. Reporting Requirements
E. Order Routing and Execution
04/21/2020
Event
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1 r4
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2 (Redlined)
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