Latest Updates | CATNMSPLAN

09/02/2015
Governance
Approval Order of Exemptive Request Letter
09/02/2015
FAQ| Q. Customer and Account Information
Q2. Are CAT Reporters required to report Customer-IDs to the CAT?
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
01/30/2015
FAQ| Q. Customer and Account Information
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
Timeline Activity
Test Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Small Firms: Production Go-Live for Equities 2a reporting requirements
Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
Reference Material
Q2 2022 QPR
Timeline Activity
Production Go-Live for Options 2b file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
Event
Daily Industry Testing Checkpoint Call (6/15/2020)

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