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CAT Deadline

April 20, 2020

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Phase 2a is a multi-phase Equity reporting timeline for firms that are current OATS reporters.  The initial test environment for file submission will open in December 2019 with the production “go-live” scheduled for April 2020.  There are a series of ongoing later dates where firms will need to confirm their intra-firm and inter-firm linkage capabilities, as well as correct data and linkage error notices sent to them by FINRA.

  • Production Environment Go-Live for file submission and data integrity validations
  • Test Environment Opens for Intra-firm Linkage validations

Phase 2b is the multi-phase Options reporting module for Large Industry Members (greater than $500k capitalization).  Similar to the Equity phase, the test environment for file submission will open in December 2019, but the production “go-live” for file submission will be on May 18, 2020.

  • Test environment opens for Intra-firm Linkage validations


Oyster can help you assess how your firm is positioned for CAT readiness, manage your requirements assessment and implementation phases, and assist you in determining what and how your technology providers will report for you. We can also assist in testing data scenarios and data linkage and creating an error repair process.