Latest Updates | CATNMSPLAN

02/21/2019
Reference Material
Consolidated Audit Trail (“CAT”) Clock Synchronization Certification Form
02/20/2019
Event
Industry Update on the Consolidated Audit Trail (2/20/2019)
01/17/2019
FAQ| G. Manual Orders
G4. If a broker receives a telephone call from a customer who places an order for 100 shares of ABC while on the phone, and the broker simultaneously enters the order into his/her firm’s order handling and execution system as the broker receives the order from the customer over the phone, does the firm need to report to the CAT both a manual receipt time and an Electronic Capture Time?
01/17/2019
FAQ| M. Firm Designated ID
M9. CAT FAQ M2 prohibits use of a customer account number as the FDID. Does this apply to proprietary accounts of an Industry Member?
11/15/2018
FAQ| B. Reporting Requirements
B31. Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
11/15/2018
FAQ| P. Feedback and Error Correction
P11. Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?
11/15/2018
FAQ| N. Third Party Reporting
N2. If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
11/15/2018
FAQ| E. Order Routing and Execution
E4. Are orders routed using ACES Pass-Thru considered manual or electronic?
11/15/2018
FAQ| B. Reporting Requirements
B23. A broker-dealer accepts orders in Exchange Traded Managed Fund Shares ("ETMF"), or "NextShares", as defined under Nasdaq Rule 5745. When reporting orders in ETMFs to CAT should prices be reported in the "proxy price" format or using the Net Asset Value ("NAV") established at the end of the day?
11/15/2018
FAQ| D. Order Receipt
D14. An Industry Member receives an order with instructions to execute during regular market hours. However, when the regular trading session expires, the order is not complete and the customer instructs the Industry Member to finish the order. What should be populated in the tradingSession field on the New Order or Order Accepted Event in this instance?
11/15/2018
FAQ| B. Reporting Requirements
B26. Does a CRD Number qualify as an SRO assigned identifier that can be used as an IMID in cases where a non FINRA member does not have an SRO assigned identifier?
11/15/2018
FAQ| C. Definitions
C3. What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
11/15/2018
FAQ| O. Technical Requirements
O12. Can records submitted via the CAT Web Portal be saved?
11/15/2018
FAQ| E. Order Routing and Execution
E22. If a trade is reported on an “as of “basis to the TRF, what are the CAT reporting requirements?
11/15/2018
FAQ| A. General
A23. What are the record retention requirements for Industry Member CAT Reporters?

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