Latest Updates | CATNMSPLAN

03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
03/24/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r1
03/23/2021
FAQ| A. General
A33. Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?
03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Clean)
03/23/2021
Event
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021)
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
03/12/2021
FAQ| B. Reporting Requirements
B69. How should the price and eventTimestamp fields be populated on a New Order event (MENO)/ Order Accepted event (MEOA) for a trade priced at the Net Asset Value (NAV) if the price is not known until after 4:15:00 pm ET on the date of origination/receipt?
03/11/2021
Basic page
CAIS Compliance Glossary
03/11/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)
03/10/2021
Event
Industry Webinar - CAT Connectivity (March 9, 2021)
03/09/2021
FAQ| B. Reporting Requirements
B49. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or assignment to CAT?
03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1- Clean
03/09/2021
FAQ| J. OTC Equity Securities
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?

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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