Latest Updates | CATNMSPLAN

04/30/2021
Reference Material
Sample Customer and Account Reporting Disclosure Form
04/28/2021
Event
Industry Testing Checkpoint Call (April 27, 2021)
04/27/2021
FAQ| U. Allocations
U27. How should Industry Members populate the settlementDate field for allocations in “when-issued” securities?
04/26/2021
FAQ| A. General
A29. What broker-dealers are considered Small Industry Members?
04/20/2021
CAT Alert
CAT Alert 2021-01- Phase 2c Cutover- Transitioning from Phase 2a/2b to Phase 2c Data Submissions
04/20/2021
FAQ| M. Firm Designated ID
M8. When will Industry Members be required to report the Firm Designated ID (FDID) to the CAT?
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r4
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Clean)
04/20/2021
FAQ| Q. Customer and Account Information
Q43. The CAT Reporting Technical Specifications for Industry Members allows for a firmDesignatedID value of ‘PENDING’ if an FDID has not yet been created when an order has been received. Should Industry Members report a firmDesignatedID value of ‘PENDING’ to CAT CAIS?
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Redlined)
04/20/2021
FAQ| M. Firm Designated ID
M4. Which Firm Designated ID (FDID) must be provided in scenarios involving managed accounts where an order may be placed in a master account with subaccount allocations made at a later time?
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r3
04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
04/15/2021
FAQ| Q. Customer and Account Information
Q20. When is an LTID considered to be reportable into CAIS?
04/14/2021
Event
Industry Testing Checkpoint Call (April 13, 2021)

« First
‹ Previous
…
41
42
43
44
45
46
47
48
49
…
Next ›
Last »

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