Latest Updates | CATNMSPLAN

09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)
09/09/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r6
09/09/2020
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r2
09/09/2020
FAQ| Q. Customer and Account Information
Q31. When introducing brokers and executing brokers use a separate clearing broker for the accounts of their clients, what are the responsibilities for LTID reporting?
09/09/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r7
09/08/2020
Event
CAT Technical Specification Working Group Q&A - 9/8/20
09/02/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)
09/02/2020
FAQ| I. Foreign Securities
I2. If a firm receives an order in a foreign security that is an OTC Equity Security and routes the order to another broker-dealer who then executes the order in the US, what is the reporting obligation of the routing firm?
09/02/2020
FAQ| I. Foreign Securities
I4. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the market of execution is not known by the end of the CAT Trading day, does the firm have a CAT reporting obligation?
09/01/2020
Technical Specifications
Industry Member Reporting Scenarios v2.8
09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
09/01/2020
Reference Material
Industry Member Reporting Scenarios v3.5
08/31/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1 r1
08/27/2020
FAQ| U. Allocations
U13. Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
08/27/2020
FAQ| Q. Customer and Account Information
Q23. Do introducing and non-self-clearing executing brokers have CAIS LTID reporting obligations?

« First
‹ Previous
…
59
60
61
62
63
64
65
66
67
…
Next ›
Last »

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