Latest Updates | CATNMSPLAN

07/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (July 7, 2021)
06/29/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.0
06/29/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 29, 2021
06/25/2021
FAQ| U. Allocations
U1. The newOrderFDID field in the Post-Trade Allocation/Option Post-Trade Allocation Event (MEPA/MOPA) and Amended Allocation/Option Amended Allocation Event (MEAA/MOAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?
06/24/2021
Event
Phase 2d Industry Webinar (June 24, 2021)
06/23/2021
FAQ| U. Allocations
U17. Are changes to CAT reportable attributes of an allocation after the original booking of shares/contracts that occur post-settlement required to be reported to CAT as an Amended Allocation/Option Amended Allocation (MEAA/MOAA) event?
06/22/2021
Event
CAT Technical Specification Working Group ( June 22, 2021)
06/21/2021
FAQ| U. Allocations
U18. Are Industry Members required to report Amended Allocation/Option Amended Allocation events (MEAA/MOAA) for allocations which occurred before the date an Industry Member is required to report allocation events to CAT?
06/21/2021
FAQ| U. Allocations
U21. Is the side value ‘SX’ (Short Sale Exempt) required to be reported on a Post-Trade Allocation (MEPA) event?
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

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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