Latest Updates | CATNMSPLAN

07/23/2021
Reference Material
Industry Member Onboarding Guide v1.19
07/22/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
07/22/2021
Event
Multi-Leg/Complex Option Order (July 21, 2021)
07/22/2021
Announcement
2021 Business Clock Synchronization Survey
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
07/16/2021
Technical Specifications
Industry Member Reporting Scenarios v4.5
07/16/2021
Technical Specifications
Industry Member Reporting Scenarios v4.5 (Redlined)
07/15/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
07/14/2021
Event
Industry Testing Checkpoint Call (July 13, 2021)
07/14/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r2
07/13/2021
FAQ| Q. Customer and Account Information
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
07/13/2021
FAQ| K. Options
K18. Is an electronicTimestamp required when reporting a manual Trade Event (MEOT) or manual Option Trade Event (MOOT) to CAT?
07/13/2021
FAQ| B. Reporting Requirements
B66. When is the Order Effective event/Option Order Effective event (MEOE/MOOE) required to be reported to CAT?
07/13/2021
FAQ| B. Reporting Requirements
B74. Is an Order Cancelled event (“MEOC”) required for Good till Cancelled (“GTC”) orders if an issue symbol is delisted?
07/13/2021
FAQ| K. Options
K16. How must Industry Members capture the firmDesignatedID (“FDID” or “Firm Designated ID”) on Multi-Leg events in scenarios where the equity leg and option leg are originated in and/or settled to different accounts of the same customer?

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics