Latest Updates | CATNMSPLAN

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)?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| K. Options
K19. Which handlingInstructions value should Industry Members populate on option events when the limit price is based on option Greeks or another formula based on market conditions?
09/21/2021
FAQ| A. General
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1
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
FAQ| B. Reporting Requirements
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?
09/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.6
09/21/2021
FAQ| F. Representative Orders
F2. When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
09/21/2021
FAQ| E. Order Routing and Execution
E1. When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
09/21/2021
FAQ| D. Order Receipt
D23. How should the accountHolderType be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? Should the accountHolderType represent the status of the IA/money manager or the status of the IA/money manager’s client?

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