Latest Updates | CATNMSPLAN

04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
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?
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
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)
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
Reference Material
Proposed CAT NMS Plan Amendment Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement (12/18/2020)
CAT Alert
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0
Reference Material
Notice of Filing of Exemptive Request Letter Related to Phase 2c Cutover
Timeline Activity
Test Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage

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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