Latest Updates | CATNMSPLAN

10/23/2023
Governance
Request for No-Action Relief related to 2X Load Testing
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
10/12/2023
FAQ| A. General
A10. This FAQ has been retired and archived. Please refer to FAQ V1.
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?
10/12/2023
FAQ| V. CAT Billing
V3. How is “CAT Executing Broker” defined for CAT billing purposes?
10/12/2023
FAQ| V. CAT Billing
V19. What happens if a firm does not enter a billing contact in the CAT Contact Management System?
10/12/2023
FAQ| V. CAT Billing
V16. Are trade details related to the CAT invoice available?
10/12/2023
FAQ| V. CAT Billing
V26. How would CAT fees be assessed with regard to non-Industry Members on transaction reports?
10/12/2023
FAQ| V. CAT Billing
V7. How is the Historical Fee Rate for Historical CAT Assessments calculated?
10/12/2023
FAQ| V. CAT Billing
V20. How will a firm be notified that CAT invoices have been published?
10/12/2023
FAQ| V. CAT Billing
V17. How do I access the CAT invoice?
10/12/2023
FAQ| A. General
A10. How is the cost of the CAT being funded?
10/12/2023
FAQ| V. CAT Billing
V14. What should a firm do if payment was submitted but is not reflected on the CAT Reporter Portal?
10/12/2023
FAQ| V. CAT Billing
V11. Is there a de minimis fee where an Industry Member would not receive an invoice?

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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
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
All Topics