Latest Updates | CATNMSPLAN

03/31/2023
Governance
Notice of Filing of Exemptive Request Letter Related to Verbal Floor and Upstairs Activity
03/29/2023
Reference Material
CAT LLC- Q1 2023 Financial and Operating Budget
03/27/2023
Technical Specifications
2023 Industry Member Releases (Transaction) - Scope and Schedule
03/24/2023
Event
Monthly CAT Update (March 23, 2023)
03/21/2023
FAQ| Q. Customer and Account Information
Q16. Can an Industry Member submit the same CAIS record every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
03/13/2023
Reference Material
Proposed CAT NMS Plan Amendment Related to Funding Proposal (3/13/2023)
03/07/2023
Announcement
2023 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)
03/02/2023
Reference Material
Withdrawal of 2022 Funding Model Amendment (3/01/2023)
03/02/2023
Event
CAIS Industry Testing Checkpoint Call (March 1, 2023)
03/02/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (April 5, 2023)
03/02/2023
Event
Monthly CAT Update (April 20, 2023)
03/01/2023
Announcement
3/1/2023 Consolidated Audit Trail Advisory Committee List
02/28/2023
FAQ| B. Reporting Requirements
B77. What are the CAT reporting obligations when a security is the subject of a corporate action (e.g. merger/acquisition) and is now a different security but trades under the same issue symbol and the customer/client wants to trade the new security?
02/28/2023
FAQ| B. Reporting Requirements
B74. Is an Order Cancelled event (“MEOC”) required for Good till Cancelled (“GTC”) orders if an issue symbol is delisted?
02/27/2023
FAQ| D. Order Receipt
D10. How should orders received with instructions from the customer to buy as much stock as possible for a specific dollar amount (e.g., $1,000), commonly referred to as "cash" orders, be reported to CAT?

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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