Latest Updates | CATNMSPLAN

02/11/2020
FAQ| E. Order Routing and Execution
E28. Exchange origin code is required to be reported on CAT Order Route events when routing orders to an options exchange. However, it is not required by all options exchange protocols for certain market maker orders. In these cases, with what should Industry Members populate the exchOriginCode field on the Options Order Route Event?
02/11/2020
FAQ| A. General
A30. If a firm meets the definition of a Small Industry Member at the time its audited financial statements are prepared, but its total capital subsequently exceeds $500,000 prior to the Small Industry Member deadline of December 2021, must it immediately start reporting to CAT as a Large Industry Member?
02/11/2020
FAQ| K. Options
K11. Can an Industry Member choose to report manual option events in Phase 2b, though they are not required until Phase 2d?
02/10/2020
Basic page
Gap Analyses
02/06/2020
Basic page
Plan Participants
02/06/2020
Basic page
Technical Specifications
02/05/2020
Event
Weekly Industry Testing Checkpoint Call (2/4/2020)
02/04/2020
Basic page
One-time Written Assessments
02/04/2020
Basic page
Exemptive Request Letters
02/04/2020
Basic page
CAT NMS Plan
02/03/2020
Governance
Notice of Filing of Exemptive Request Letter related to Timestamp Granularity and Relationship IDs
02/03/2020
Governance
Notice of Filing of Exemptive Request Letter related to the Definition of Small Industry Member
01/31/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r3
01/31/2020
Technical Specifications
Industry Member Technical Specifications (2c) v3.0 FINAL
01/31/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.0

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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