Latest Updates | CATNMSPLAN

04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1 r4
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1 (Redlined)
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
04/14/2020
FAQ| B. Reporting Requirements
B2. What are the timestamp requirements for reporting information to the CAT?
04/14/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID
04/14/2020
FAQ| B. Reporting Requirements
B8. How should an Industry Member report timestamps to the CAT if its order handling and order execution systems use different timestamp increments?
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers
04/09/2020
Event
CAT Technical Specification Working Group Q&A - 4/9/20
04/08/2020
Event
Weekly Industry Testing Checkpoint Call (4/7/2020)
04/08/2020
Governance
SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity
04/08/2020
FAQ| B. Reporting Requirements
B48. If an Industry Member manually initiates a proprietary equities order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
04/07/2020
FAQ| D. Order Receipt
D4. A registered representative of BD A, an Industry Member CAT Reporter, creates an order for 10,000 shares that he later plans to allocate to 10 customer accounts for which he has trading discretion. What are the CAT reporting obligations for BD A for the 10,000 share order created by the registered representative?

« First
‹ Previous
…
76
77
78
79
80
81
82
83
84
…
Next ›
Last »

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
X. Reference Database
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
X. Reference Database
All Topics