Latest Updates | CATNMSPLAN

01/29/2020
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information
01/28/2020
FAQ| K. Options
K7. This FAQ has been moved to section K. Options, as FAQ K8.
01/28/2020
FAQ| E. Order Routing and Execution
E13. Is a firm that routes an order away from the firm for execution required to report routing instructions (e.g., specific order types and terms and conditions used for the order when sending to an exchange) to CAT in the handlingInstructions field on the CAT Order Route Event?
01/27/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.0
01/22/2020
Event
Weekly Industry Testing Checkpoint Call (1/21/2020)
01/16/2020
Event
Industry Webinar – CAT Updates (01/15/2020)
01/16/2020
Event
CAT Technical Specification Working Group Q&A - 1/16/20
01/15/2020
Event
Weekly Industry Testing Checkpoint Call (1/14/2020)
01/14/2020
FAQ| T. Production Readiness Testing
T3. If the production readiness submission has an error rate exceeding 10%, can the data be corrected and resubmitted for a subsequent certification attempt?
01/14/2020
FAQ| T. Production Readiness Testing
T1. Where can Industry Members find information regarding production readiness testing requirements?
01/14/2020
FAQ| T. Production Readiness Testing
T5. If an Industry Member successfully certifies for Phase 2a equity submissions, must it recertify for Phase 2b options submissions?
01/14/2020
FAQ| T. Production Readiness Testing
T2. How will Industry Members that use multiple CAT Reporting Agents (“CRA”) be certified for production?
01/07/2020
FAQ| D. Order Receipt
D1. This FAQ has been moved to section I. Foreign Securities, as FAQ I8.
01/07/2020
Event
Weekly Industry Testing Checkpoint Call (1/7/2020)
01/07/2020
FAQ| I. Foreign Securities
I8. If a non-US broker-dealer routes an order to a US broker-dealer, how is the US broker-dealer required to report the receipt of the order to the CAT?

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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