Latest Updates | CATNMSPLAN

10/06/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r5
10/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Full CAIS Certification Webinar (October 6, 2021)
10/05/2021
FAQ| M. Firm Designated ID
M12. Where can I find additional information regarding the Firm Designated Identifier (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M6. If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?
10/05/2021
FAQ| M. Firm Designated ID
M3. Can a Firm Designated ID (FDID) change each Trading Day?
10/05/2021
FAQ| M. Firm Designated ID
M1. What is a Firm Designated ID (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M14. If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M2. Can actual account numbers be used as the FDID when submitting data to CAT?
10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
10/05/2021
FAQ| M. Firm Designated ID
M10. CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| B. Reporting Requirements
B5. Are all Industry Members required to report NBBO information to the CAT?
09/21/2021
FAQ| K. Options
K2. What Industry Member Data will be reportable to the CAT during Phase 2b of the revised implementation schedule?
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1

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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