Latest Updates | CATNMSPLAN

06/18/2019
FAQ| R. Clock Synchronization
R5. What clock synchronization procedures are required to comply with the CAT NMS Plan?
06/18/2019
FAQ| O. Technical Requirements
O5. Can order events for more than one CAT Reporter be submitted to CAT in a single file?
06/18/2019
FAQ| A. General
A22. Can Small Industry Members that are not OATS Reporting Members (“Small Industry Non-OATs Reporters”) voluntarily report to the CAT prior to December 2021?
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
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
05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0
05/02/2019
FAQ| A. General
A5. When will Participants begin reporting data to the CAT?
05/02/2019
FAQ| A. General
A27. When does Industry Member testing begin?
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?

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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