Latest Updates | CATNMSPLAN

06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
Timeline Activity
Industry Test Release 1.3
Release 1 - File Submission and Data Integrity Validations
Event
Daily Industry Testing Checkpoint Call (6/19/2020)
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.4 (March 23 functionality)
Release 1 - File Submission and Data Integrity Validations
Governance
Industry Recommendations for the Creation of a Consolidated Audit Trail (CAT) (3/28/13)
Technical Specifications
CAT Alert 2018-001- Industry Member Reporting Technical Specifications
Governance
Request to Approve the Participants' 2/19/20 Exemptive Relief Request
Timeline Activity
Industry Members are permitted to begin reporting Quote Sent Time on OMM quotes
Timeline Activity
Industry Members are required to begin reporting Quote Sent Time on OMM quotes
Announcement
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
Announcement
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members

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