Latest Updates | CATNMSPLAN

04/04/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r12
04/04/2022
FAQ| U. Allocations
U29. The TIDType field became effective on Transaction events on December 13, 2021 as an optional field and was retired effective March 25, 2022. As such, this FAQ regarding TIDType is retired. Please refer to Version 4.0.0 r13 of the Phase 2d Technical Specifications for more information.
04/04/2022
Reference Material
April 6, 2022 CAT Funding Industry Webinar- Presentation
03/29/2022
Event
CAT Technical Specification Working Group - March 29, 2022
03/29/2022
Event
Cost Savings and Processing Efficiencies
03/25/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r14
03/24/2022
Event
CAIS Industry Testing Checkpoint Call (March 23, 2022)
03/23/2022
CAT Alert
CAT Alert 2020-04 - Standards for Self Reporting Erroneous Events to FINRA CAT
03/21/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r11
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
03/15/2022
Event
CAT CAIS Technical Specification Working Group - March 15, 2022
03/09/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r7
03/09/2022
Technical Specifications
Industry Member Reporting Scenarios v4.9
03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
03/07/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r10

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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