Latest Updates | CATNMSPLAN

10/12/2023
FAQ| V. CAT Billing
V15. How are questions related to CAT invoices handled?
10/12/2023
FAQ| V. CAT Billing
V9. Will there be adjustments for trades that are cancelled or corrected?
10/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)
09/28/2023
Event
Part 1: CAT Billing Webinar
09/26/2023
Reference Material
SEC Approved CAT NMS Plan as of 9/06/2023
09/25/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r20
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
09/15/2023
Announcement
CAT Funding Model Approval
09/11/2023
FAQ| J. OTC Equity Securities
J6. What are the reporting requirements for quotes entered directly into OTC Link IDQS via OTC Link IDQS’s Dealer Application?
09/11/2023
FAQ| B. Reporting Requirements
B43. Are verbal and manual quotes subject to the reporting requirements of Phases 2a, 2b, 2c or 2d?
09/11/2023
FAQ| B. Reporting Requirements
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?
09/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023)
09/05/2023
Technical Specifications
CAIS Data File Schema
09/05/2023
Technical Specifications
CAIS TIDS Schema
09/05/2023
Technical Specifications
CAIS TIDS Feedback Schema

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].