Latest Updates | CATNMSPLAN

08/16/2019
Event
CAT Technical Specification Working Group Q&A - 8/15/2019
08/14/2019
Event
Industry Webinar - Equity Representative Orders Deep Dive (August 13, 2019)
08/13/2019
FAQ| E. Order Routing and Execution
E26. Does Section 6.3(d)(ii) of the CAT NMS Plan, which sets forth the reporting requirements with regard to the “routing of an order,” apply to both internal and external routes?
08/13/2019
FAQ| E. Order Routing and Execution
E27. How should the affiliateFlag be populated when routing an order between IMIDs belonging to the same broker-dealer?
08/13/2019
Event
Industry Webinar - An Overview of the CAT Onboarding Guide (August 12, 2019)
08/13/2019
FAQ| M. Firm Designated ID
M13. Does a Firm Designated ID apply to a trading account or to a Customer? Certain provisions in the CAT NMS Plan refer to Firm Designated IDs for Customers.
08/01/2019
Event
CAT Technical Specification Working Group Q&A - 8/1/2019
07/31/2019
FAQ| B. Reporting Requirements
B41. How should an Industry Member report to the CAT orders filled by the Industry Member from its inventory, rather than through the generation of a proprietary order to execute against the order?
07/31/2019
FAQ| B. Reporting Requirements
B40. CAT FAQs B3 and B38 state that IOIs, RFQs and other forms of non-firm expressions of trading interest are not reportable to CAT. What factors should a firm consider when determining whether trading interest, regardless of the label attached to it, is reportable to CAT?
07/31/2019
Technical Specifications
Industry Member Reporting Scenarios v2.2
07/31/2019
FAQ| N. Third Party Reporting
N5. Are Industry Members that report to CAT using a third-party vendor that submits reportable data to the CAT using a private line connection required to transmit their CAT reportable data to the third party vendor via a private line connection?
07/18/2019
Event
In-person Consolidated Audit Trail Options Deep Dive July 16, 2019 in Philadelphia
07/17/2019
FAQ| C. Definitions
C7. Are orders received or routed via instant message (IM) or email considered “manual” or “electronic” for purposes of reporting to the CAT?
06/25/2019
Technical Specifications
Industry Member Schema v2.2 (2a/2b)
06/24/2019
FAQ| O. Technical Requirements
O2. What access methods are available to Industry Members to report to CAT?

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].