Latest Updates | CATNMSPLAN

11/15/2018
FAQ| O. Technical Requirements
O13. Where can the status of the CAT system be found?
11/15/2018
FAQ| O. Technical Requirements
O12. Can records submitted via the CAT Web Portal be saved?
11/15/2018
FAQ| O. Technical Requirements
O10. Can files be sent to CAT using SFTP via the Internet?
11/15/2018
FAQ| O. Technical Requirements
O8. What are the Web addresses used to transfer CAT data?
11/15/2018
FAQ| O. Technical Requirements
O6. Are back-up circuits required for reporting to CAT via SFTP?
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| 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
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
P7. Can previously accepted records be deleted?
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
P2. What will happen if order information is submitted for a security that is not CAT reportable?
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| B. Reporting Requirements
B29. How should an order be identified when the broker (as opposed to the trader) has price and time discretion?
11/15/2018
FAQ| E. Order Routing and Execution
E11. At 8:30:00:000 a.m., BD1 receives a market-on-open customer order and guarantees the opening price. At 9:30:00.000 a.m., the market opens, and, at 9:35:00.000 a.m., BD1 receives the opening price information and executes the trade. What execution time should be used in the CAT Trade Event and related trade report?
11/15/2018
FAQ| E. Order Routing and Execution
E7. Executed orders that exceed 100 million shares must be reported to the ORF in two or more transaction reports because the OTC Trade Reporting Facility (ORF) will not accept trades that exceed 99,999,999 shares. Can a single CAT Trade Event be matched to more than one ORF trade report?

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