Latest Updates | CATNMSPLAN

10/05/2021
FAQ| M. Firm Designated ID
M3. Can a Firm Designated ID (FDID) change each Trading Day?
10/05/2021
FAQ| M. Firm Designated ID
M14. If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M10. CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| F. Representative Orders
F2. When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
09/21/2021
FAQ| Q. Customer and Account Information
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?
09/21/2021
FAQ| B. Reporting Requirements
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?
09/21/2021
FAQ| K. Options
K19. Which handlingInstructions value should Industry Members populate on option events when the limit price is based on option Greeks or another formula based on market conditions?
09/21/2021
FAQ| Q. Customer and Account Information
Q52. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?
09/21/2021
FAQ| K. Options
K2. What Industry Member Data will be reportable to the CAT during Phase 2b of the revised implementation schedule?
09/21/2021
Event
CAT CAIS Technical Specification Working Group Q&A - September 21, 2021
09/21/2021
Event
CAT Costs (September 21, 2021)
09/21/2021
FAQ| B. Reporting Requirements
B5. Are all Industry Members required to report NBBO information to the CAT?
09/21/2021
FAQ| I. Foreign Securities
I1. Are orders in foreign securities reportable?

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