Latest Updates | CATNMSPLAN

06/24/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2
06/24/2019
FAQ| O. Technical Requirements
O2. What access methods are available to Industry Members to report to CAT?
06/18/2019
FAQ| D. Order Receipt
D7. Should accountHolderType Code "E" be used for orders received from former or retired employees or employees of other broker-dealers?
06/18/2019
FAQ| D. Order Receipt
D5. BD A, an Industry Member CAT Reporter receives 10 separate and distinct customer orders that together total 10,000 shares. A registered representative of BD A sends a single 10,000 share order to the trading desk. What are the CAT reporting obligations for BD A?
06/18/2019
FAQ| O. Technical Requirements
O9. Where can information on obtaining access to the private network for reporting to CAT be found?
06/18/2019
FAQ| B. Reporting Requirements
B27. What are the hours for reporting to CAT?
06/18/2019
FAQ| O. Technical Requirements
O4. If a clearing firm enters into agreements with each of its correspondents to transmit data to CAT on behalf of the correspondents, is a separate Reporter ID required for each correspondent?
06/18/2019
FAQ| K. Options
K4. Are option assignments required to be reported to CAT?
06/18/2019
FAQ| P. Feedback and Error Correction
P12. Can accepted data be viewed in CAT?
06/18/2019
FAQ| D. Order Receipt
D8. Should accountHolderType "E" be used if a registered representative has discretion over a customer account?
06/18/2019
Announcement
Annual Clock Synchronization Certification
06/18/2019
FAQ| P. Feedback and Error Correction
P9. For what reasons are records rejected by CAT?
06/18/2019
FAQ| M. Firm Designated ID
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?
06/18/2019
FAQ| C. Definitions
C4. The affiliateFlag requires the designation of an affiliate. How should CAT Reporters determine who is an "affiliate" for these purposes?
06/18/2019
FAQ| J. OTC Equity Securities
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to 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