Latest Updates | CATNMSPLAN

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?
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0
05/10/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.0
05/10/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.1
05/02/2019
FAQ| A. General
A27. When does Industry Member testing begin?
05/02/2019
FAQ| A. General
A5. When will Participants begin reporting data to the CAT?
04/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.0
04/29/2019
FAQ| A. General
A28. The CAT Registration form requires that a Registered Principal be named. Must that Registered Principal have a Series 24 license?
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)

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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