Latest Updates | CATNMSPLAN

11/15/2018
FAQ| D. Order Receipt
D22. What is the purpose of the infoBarrierID field and how should it be used?
11/15/2018
FAQ| H. ATS
H5. An ATS receives an IOC order and prior to obtaining any applicable reference price necessary to process the order, the ATS determines there is no contra side interest available for execution. Consequently, the ATS immediately cancels the order back to the subscriber without ever determining an applicable reference price. What should the ATS populate in the NBBO (or other applicable reference price) information fields?
11/15/2018
FAQ| E. Order Routing and Execution
E19. When a broker-dealer routes an order to an Industry Member, the routing broker-dealer may not include the special handling details associated with the original customer order as received by the routing broker-dealer. Are these original special handling details expected to be reported by subsequent Industry Members to which the order is routed?
11/15/2018
FAQ| A. General
A23. What are the record retention requirements for Industry Member CAT Reporters?
11/15/2018
FAQ| B. Reporting Requirements
B22. What are the CAT reporting obligations when one Industry Member provides sponsored access to another Industry Member?
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
10/30/2018
Technical Specifications
Industry Member Reporting Scenarios v1.0
10/30/2018
FAQ| C. Definitions
C1. How has the Operating Committee defined “Trading Day”?
10/30/2018
FAQ| K. Options
K3. Are responses to auctions reportable in Phase 2b?
10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)
10/17/2018
FAQ| N. Third Party Reporting
N1. Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?
09/11/2018
FAQ| B. Reporting Requirements
B10. How should Industry Members report transactions involving fractional shares to the CAT?

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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