Latest Updates | CATNMSPLAN

Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.3
Release 1 - File Submission and Data Integrity Validations
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
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.1
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations

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