Latest Updates | CATNMSPLAN

05/19/2020
CAT Alert
CAT Alert 2020-01 - Industry Member Test Plan
05/19/2020
FAQ| B. Reporting Requirements
B9. Are all messages, as represented in order routing protocols such as FIX, required to be reported to CAT by Industry Members?
05/19/2020
FAQ| Q. Customer and Account Information
Q17. Are Industry Members required to report LTIDs for dormant or inactive accounts? For example, an Industry Member has a customer that qualifies as a Large Trader but that customer has not had any account activity for several months.
05/19/2020
FAQ| Q. Customer and Account Information
Q14. If an Industry Member erroneously ends an LTID to FDID association and needs to reestablish it, what should the ltidEffectiveDate be?
05/19/2020
FAQ| Q. Customer and Account Information
Q11. What is the ltidEndDate?
05/18/2020
CAT Alert
05/15/2020
Reference Material
Industry Member Technical Specifications (2a/2b) v2.2.1 r5 (Redlined)
05/15/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r5
05/15/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r3
05/13/2020
Event
Weekly Industry Testing Checkpoint Call (5/12/2020)
05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement
05/07/2020
Event
CAT Technical Specification Working Group Q&A - 5/7/20
05/05/2020
FAQ| B. Reporting Requirements
B51. Are ETF creations and redemptions required to be reported to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B52. Are American Depository Receipt (ADR) creations and cancellations required to be reported to CAT?
05/05/2020
Event
Weekly Industry Testing Checkpoint Call (5/5/2020)

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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