Latest Updates | CATNMSPLAN

05/05/2026
FAQ| X. Reference Database
X11. What CAT Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
05/05/2026
FAQ| M. Firm Designated ID
M2. Is it permissible to use information that can be used to identify a customer, trading account or relationship as the firmDesignatedID value, or as part of the firmDesignatedID value, when submitting data to the Transaction system or the Reference Database?
05/05/2026
FAQ| X. Reference Database
X8. In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to the Reference Database by the acquiring firm and when is it required to be reported to the Reference Database?
05/05/2026
FAQ| M. Firm Designated ID
M9. This FAQ has been retired and archived. Please refer to M2.
05/05/2026
FAQ| X. Reference Database
X16. How must an FDID Record be reported to the Reference Database when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
05/05/2026
FAQ| T. Production Readiness Testing
T7. This FAQ has been retired and archived.
05/05/2026
FAQ| A. General
A34. Why is there a question on the CAT Registration Forms (Transaction and Reference Database Registration) asking for a Legal Entity Identifier (LEI)?
05/04/2026
Reference Material
Reference Database Onboarding Guide v1.0
04/30/2026
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.2.0 (Clean)
04/30/2026
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.2.0 (Redlined)
04/23/2026
Reference Material
Small Firm Roadmap
04/23/2026
Event
Monthly CAT Update Newsletter: April 2026
04/23/2026
Reference Material
Small Firm Roadmap - Reference Database
04/07/2026
FAQ| V. CAT Billing
V23. How will transactions in fractional shares be treated under the funding model?
04/01/2026
Reference Material
SEC Approved CAT NMS Plan as of 4/1/2026

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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