Latest Updates | CATNMSPLAN

06/18/2021
Technical Specifications
Industry Member Reporting Scenarios v4.4
06/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (June 17, 2021)
06/18/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r9
06/17/2021
FAQ| D. Order Receipt
D35. When must Industry Members use the Smart Router (‘SMT’) handlingInstructions value?
06/16/2021
Event
Phase 2d CAT Reporting Requirements for Open Outcry Trades (June 15, 2021)
06/16/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r7
06/15/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 15, 2021
06/15/2021
FAQ| B. Reporting Requirements
B73. What are the CAT reporting requirements for a scenario where a customer order is received and executed, and an Industry Member makes an accommodation to the customer due to a customer error?
06/15/2021
FAQ| Q. Customer and Account Information
Q48. What address should an Industry Member report to CAT CAIS for accounts that are owned by the Industry Member such as proprietary trading accounts and inventory accounts?
06/11/2021
Timeline Activity
Customer and Account Information - Production Environment Opens
06/10/2021
Event
Small Firms Roadmap to December 13, 2021 (June 10, 2021)
06/10/2021
Governance
Notice of Filing of Exemptive Request Letter Related to Unique Order ID on Internal Route Events
06/09/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and CAIS Report Card (June 9, 2021)
06/08/2021
Event
Industry Testing Checkpoint Call (June 8, 2021)
06/08/2021
Event
CAT Technical Specification Working Group Q&A - June 8, 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