Latest Updates | CATNMSPLAN

08/27/2020
FAQ| Q. Customer and Account Information
Q22. If an account does not have an account holder or authorized trader with an LTID or ULTID, but has other individuals or entities with an LTID or ULTID that may have some other relationship to the account, must that account be reported in the LTID Phase of CAIS?
08/27/2020
FAQ| U. Allocations
U15. Are Allocation Reports required to be reported for both purchases and sales?
08/26/2020
Technical Specifications
Technical Specifications for IDQS v1.0 r2
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/20/2020
Event
Industry Member Compliance Report Card
08/19/2020
Event
Interfirm Linkage Overview (8/19/2020)
08/18/2020
Event
Weekly Industry Testing Checkpoint Call (8/18/2020)
08/17/2020
Basic page
CAIS Registration & Onboarding
08/12/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4 (Redlined)
08/12/2020
Event
LTID Submission Webinar (8/12/2020)
08/12/2020
FAQ| B. Reporting Requirements
B64. If executions against an order are tracked throughout the day but a single average price fill is provided to the client after the order is completed or at the end of the day, are fulfillments required throughout the day with a fulfillment amendment requirement with each new execution?
08/12/2020
Event
Interfirm Linkage Overview (8/12/2020)

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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
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