Latest Updates | CATNMSPLAN

09/17/2026
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.4.0
09/17/2026
Reference Material
SEC Approved CAT NMS Plan as of 9/3/2026
09/16/2026
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.20
09/02/2026
Reference Material
Notice of Filing of Exemptive Request Letter Related to Period 4 of the Financial Accountability Milestones
09/02/2026
Reference Material
SEC Notice of Request for Exemption Related to Period 4 of the Financial Accountability Milestones
08/26/2026
FAQ| C. Definitions
C5. When must the value ‘O’ (Market Making) be used for accountHolderType?
08/26/2026
FAQ| B. Reporting Requirements
B68. If an Industry Member uses the same account for both market making and non-market making proprietary activity, what accountHolderType must be used when reporting to CAT?
08/21/2026
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.3 r2 (Redlined)
08/21/2026
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.3 r2 (Clean)
08/21/2026
Announcement
2026 Consolidated Audit Trail Advisory Committee List
08/20/2026
Newsletter
Monthly CAT Update Newsletter: August 2026
08/14/2026
Reference Material
Erroneous Events Self Reporting Form v1.5
08/14/2026
CAT Alert
CAT Alert 2020-04 - Standards for Self Reporting Erroneous Events to FINRA CAT
08/13/2026
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.20
08/10/2026
Reference Material
Industry Member Onboarding Guide v1.26

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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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
All Topics