Latest Updates | CATNMSPLAN

01/26/2021
FAQ| I. Foreign Securities
I10. When must the senderType field be populated with a value of ‘O’?
01/26/2021
FAQ| D. Order Receipt
D26. What is the difference between ‘CND’ and ‘CMC’ handlingInstructions?
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
01/19/2021
Event
Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)
01/19/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0 r2
01/19/2021
Event
CAT Technical Specification Working Group Q&A - 1/19/21
01/12/2021
FAQ| E. Order Routing and Execution
E29. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. How should Industry Members report trade cancellations and corrections to CAT?
01/12/2021
Event
Weekly Industry Testing Checkpoint Call (1/12/2021)
01/12/2021
FAQ| B. Reporting Requirements
B63. How should the initiator field be populated if an Industry Member modifies or cancels an order based on implicit customer instructions communicated with the order, such as with certain ATS order types, as well as for actions initiated by the Industry Member unilaterally as a direct result of customer modifications or cancellations?
01/12/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r5
01/12/2021
FAQ| B. Reporting Requirements
B21. How should Exchange for Physicals ("EFP") transactions be reported to CAT?
01/11/2021
Timeline Activity
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)
01/08/2021
FAQ| J. OTC Equity Securities
J3. What are the reporting obligations for OTC Link messages directed by an OTC Link ATS subscriber to a Global OTC quote displayed on the OTC Link ATS?
01/08/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r5
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.11

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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