Latest Updates | CATNMSPLAN

01/25/2022
FAQ| Q. Customer and Account Information
Q7. Is an Industry Member permitted to provide Sensitive Identifiers, dates of birth and account numbers as a part of the Customer Identifying Information and Customer Account Information?
01/25/2022
FAQ| K. Options
K24. When should Industry Members report the ‘FB’ handling instruction on an Order Route event?
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
01/14/2022
FAQ| Q. Customer and Account Information
Q56. What 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.
01/13/2022
FAQ| Q. Customer and Account Information
Q10. Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?
01/13/2022
FAQ| Q. Customer and Account Information
Q26. What actions does a Reporting Agent need to take to certify the broker-dealers (CRDs) it will be reporting on behalf of?
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
01/06/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r13
01/04/2022
Announcement
2022 Annual Clock Synchronization Certification
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
12/21/2021
Event
CAT Technical Specification Working Group - December 21, 2021
12/20/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r12
12/17/2021
Technical Specifications
Appendix E - Region Codes

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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