Latest Updates | CATNMSPLAN

10/29/2019
Event
Industry Webinar - CAT Reporter Portal Overview and Key Dates (10/28/2019)
10/24/2019
FAQ| R. Clock Synchronization
R6. Must broker-dealers maintain a log of the times clocks are synchronized?
10/24/2019
FAQ| R. Clock Synchronization
R2. If I am an agency broker-dealer and I send my orders through a third-party service provider’s system (e.g., Bloomberg), what clock synchronization compliance obligations do I have with regard to the third-party service provider’s clocks and my own clocks? Do I need to do anything with regard to the internal systems (e.g., internal PCs or servers) or clocks within my own firm to satisfy the clock synchronization requirements?
10/16/2019
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information
10/14/2019
FAQ| C. Definitions
C6. What is the definition of a “cabinet” order for purposes of the “orderType” field for Exchange-listed options in the CAT Reporting Technical Specifications for Industry Members?
10/10/2019
Event
CAT Technical Specification Working Group Q&A - 10/10/2019
10/08/2019
Technical Specifications
Industry Member Reporting Scenarios v2.4
09/26/2019
Event
Industry Webinar - CAT Connectivity Update (September 26, 2019)
09/26/2019
Governance
Proposed FDID Amendment (9/26/2019)
09/26/2019
Event
CAT Technical Specification Working Group Q&A - 9/26/2019
09/26/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.1
09/25/2019
FAQ| A. General
A1. Has a legal entity been established to conduct the activities related to the CAT?
09/19/2019
Event
Industry Webinar - OTC Equities (September 18, 2019)
09/17/2019
FAQ| A. General
A4. Does the Consolidated Audit Trail, LLC have any officers?
09/12/2019
Event
CAT Technical Specification Working Group Q&A - 9/12/2019

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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