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
Governance
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1 r4
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2 (Redlined)
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 Customer and Account Technical Specifications for Industry Members-LTID v1.1 (Redlined)
04/21/2020
Technical Specifications
Participant Technical Specifications v3.1.0
04/21/2020
Event
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
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
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
Announcement
CAT Now Open for Reporting by Broker-Dealers
04/09/2020
Event
CAT Technical Specification Working Group Q&A - 4/9/20

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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
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