Latest Updates | CATNMSPLAN

05/06/2021
FAQ| K. Options
K12. The concept of selling long or short is not applicable to options. How should the side field be populated on options events for a sell order?
05/05/2021
Reference Material
Plan Amendment Related to Revised Funding Model- Additional Details 5/5/21
05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
05/04/2021
FAQ| B. Reporting Requirements
B71. What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?
05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
05/04/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r5
05/04/2021
FAQ| U. Allocations
U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?
04/28/2021
Event
Industry Testing Checkpoint Call (April 27, 2021)
04/27/2021
FAQ| U. Allocations
U27. How should Industry Members populate the settlementDate field for allocations in “when-issued” securities?
04/26/2021
FAQ| A. General
A29. What broker-dealers are considered Small Industry Members?
04/20/2021
FAQ| M. Firm Designated ID
M8. When will Industry Members be required to report the Firm Designated ID (FDID) to the CAT?
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r4
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Clean)
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r3
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Redlined)

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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