Latest Updates | CATNMSPLAN

08/02/2023
FAQ| Q. Customer and Account Information
Q8. May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?
08/02/2023
FAQ| Q. Customer and Account Information
Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?
07/31/2023
Reference Material
Q2 2023 QPR
07/31/2023
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r20
07/28/2023
Event
Monthly CAT Update (July 27, 2023)
07/25/2023
Reference Material
CAT 2022 Financial and Operating Budget
07/24/2023
Reference Material
CAT LLC - FY2022 Audited Financial Statements
07/18/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r19
07/07/2023
Reference Material
Erroneous Events Self Reporting Form v1.4
06/23/2023
FAQ| Q. Customer and Account Information
Q67. Are Industry Members required to report addresses at the Customer level and the account level?
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
06/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (June 7, 2023)
06/06/2023
Governance
Notice of Filing of Exemptive Request for No-Action Relief Related to 2X Load Testing
06/02/2023
Governance
Notice of Filing of Exemptive Request Letter related to Retention of Industry Test Data
05/30/2023
Announcement
5/27/22 This Announcement Has Been Superseded

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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