Latest Updates | CATNMSPLAN

09/05/2023
Technical Specifications
CAIS TIDS Schema
09/05/2023
Technical Specifications
Reference Data Feedback File Schema
09/05/2023
Technical Specifications
TIDs Schema
09/05/2023
Technical Specifications
CAIS TIDS Feedback Schema
08/22/2023
Event
CAT CAIS Technical Specifications Working Group - August 22, 2023
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
08/03/2023
Governance
Response to Comments on Order Instituting Proceedings on Proposed CAT NMS Plan Amendment Related to Funding Proposal (7/28/23)
08/03/2023
Governance
Proposed CAT NMS Plan Amendment to Implement a Revised Linkage Timeline (8/3/2023)
08/03/2023
Governance
SEC Granting Temporary Exemptive Relief of Certain Floor Activities and Upstairs Activity
08/02/2023
FAQ| Q. Customer and Account Information
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
08/02/2023
FAQ| M. Firm Designated ID
M16. FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS, what additional steps are required?

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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