Latest Updates | CATNMSPLAN

06/18/2019
FAQ| E. Order Routing and Execution
E14. Firm A routes an order to Firm B with instructions to send the order to another member or exchange for execution with specific terms and conditions that the executing venue must follow. Must Firm B report the terms and conditions intended for the executing venue as handling instructions on Firm B’s CAT Order Accepted Event in the handlingInstructions field?
06/18/2019
FAQ| B. Reporting Requirements
B38. Does the requirement that broker-dealers report on actionable indications of interest pursuant to Rule 606, under the Securities Exchange Act of 1934, change what is reportable to CAT?
06/18/2019
FAQ| P. Feedback and Error Correction
P4. When will rejections be available?
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
Announcement
Annual Clock Synchronization Certification
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
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?

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