Latest Updates | CATNMSPLAN

06/02/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r3
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r6
05/29/2021
Announcement
2020 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC
05/25/2021
Event
Industry Testing Checkpoint Call (May 25, 2021)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12 (Redlined)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12
05/20/2021
Announcement
Simplified Login Screen
05/18/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (May 18, 2021)
05/18/2021
FAQ| Q. Customer and Account Information
Q46. How should Industry Members populate the customerType field for a Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?
05/18/2021
FAQ| Q. Customer and Account Information
Q47. How should Industry Members utilize the ‘ADVISER’ value in the customerType field?
05/18/2021
FAQ| C. Definitions
C8. The IM Technical Specifications state that “Industry Members are required to report responses to RFQs and other forms of solicitation that are firm expressions of interest to trade”. How are “other forms of solicitation” defined for CAT reporting purposes?
05/18/2021
FAQ| A. General
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
05/18/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement (May 18, 2021)

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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