Latest Updates | CATNMSPLAN

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| 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| A. General
A10. How is the cost of the CAT being funded?
10/12/2023
FAQ| V. CAT Billing
V11. Is there a de minimis fee where an Industry Member would not receive an invoice?
10/12/2023
Reference Material
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?

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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