Latest Updates | CATNMSPLAN

06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r6
06/02/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r3
06/02/2021
FAQ| U. Allocations
U28. If an Industry Member aggregates shares from separate orders when booking equity shares back to the same customer account, how should the side field be populated in the Post Trade Allocation event (MEPA) if the underlying transactions included both short and long sales?
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0
05/29/2021
Announcement
2020 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC
05/25/2021
Event
Industry Testing Checkpoint Call (May 25, 2021)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12 (Redlined)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
05/20/2021
Announcement
Simplified Login Screen
05/18/2021
FAQ| A. General
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
05/18/2021
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview (May 18, 2021)
05/18/2021
FAQ| M. Firm Designated ID
M17. Is an Industry Member permitted to submit a different firmDesignatedID to CAIS than was populated as the firmDesignatedID on the related Transaction Order event for a specific trading account, Relationship ID or Entity ID within the firm?
05/18/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement (May 18, 2021)

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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