Latest Updates | CATNMSPLAN

05/08/2026
FAQ| V. CAT Billing
V30. Can an Industry Member receive an invoice with more than one CAT fee in one month?
05/08/2026
Reference Material
Reference Data File Schema
05/08/2026
Reference Material
CAT Billing Scenarios v1.1.4 (Clean)
05/08/2026
Reference Material
Billing Trade Details Schema - Off-Exchange
05/08/2026
Basic page
Reference Database Known Issues List
05/08/2026
FAQ| M. Firm Designated ID
M12. Where can I find additional information regarding the Firm Designated Identifier (FDID)?
05/07/2026
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
05/05/2026
FAQ| X. Reference Database
X4. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?
05/05/2026
FAQ| X. Reference Database
X12. If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database?
05/05/2026
FAQ| X. Reference Database
X2. Is an Industry Member permitted to submit a CAT Customer’s Sensitive Identifier, name, address, date of birth or account number to the Reference Database?
05/05/2026
FAQ| X. Reference Database
X9. Are regulators expecting complete accuracy with respect to the roleEndReason field?
05/05/2026
FAQ| M. Firm Designated ID
M10. This FAQ has been retired and archived. Please refer to FAQ M2.
05/05/2026
FAQ| X. Reference Database
X17. How must a CAT Customer’s tidValue (“TID value”) be generated when the CAT Customer does not have a US-assigned Input Identifier but has more than one foreign Input Identifier of a specific type– such as multiple Tax Identifiers or multiple Legal Entity Identifiers (LEI)?
05/05/2026
FAQ| X. Reference Database
X13. Must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database when there are standing instructions on the CAT Customer’s account, when the Industry Member originates an order in a CAT Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a CAT Customer’s account to facilitate operational processes?
05/05/2026
FAQ| M. Firm Designated ID
M8. This FAQ has been retired and archived.

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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
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