Latest Updates | CATNMSPLAN

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
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?
11/15/2018
FAQ| B. Reporting Requirements
B15. Does the CAT NMS Plan supersede Rule 17a-3?
11/15/2018
FAQ| B. Reporting Requirements
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?
11/15/2018
FAQ| P. Feedback and Error Correction
P1. How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?
11/15/2018
FAQ| P. Feedback and Error Correction
P3. If one record in a file is rejected, will the whole file be rejected?
11/15/2018
FAQ| P. Feedback and Error Correction
P7. Can previously accepted records be deleted?
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| P. Feedback and Error Correction
P14. If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
11/15/2018
FAQ| P. Feedback and Error Correction
P15. What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
11/15/2018
FAQ| E. Order Routing and Execution
E23. Is the TRF reported Branch/Sequence Number or FINRA Compliance Number required to be unique within an IMID (e.g. MPID) within a day?
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| E. Order Routing and Execution
E21. If a trade is corrected in a TRF, what must be reported to CAT?
11/15/2018
FAQ| E. Order Routing and Execution
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?

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