Latest Updates | CATNMSPLAN

CAT Alert
CAT Alert 2018-001- Industry Member Reporting Technical Specifications
Timeline Activity
Production Environment Go-Live for Equities 2a Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Production Go-Live for Phase 2d reporting requirements
Timeline Activity
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Industry Test Release 1.2
Release 1 - File Submission and Data Integrity Validations
Reference Material
SEC Granting Exemptive Relief of Certain Requirements of the CAT NMS Plan
Reference Material
Q3 2020 QPR Updated
Timeline Activity
Production Go-Live for Equities 2c reporting requirements
Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Last Day for Interim Reporting Obligation 3
Timeline Activity
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
Announcement
2019 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC
Reference Material
Proposed CAT NMS Plan Amendment Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement (12/18/2020)

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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