Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B33. How should a fractional number of shares as leavesQty be reported?
11/15/2018
FAQ| B. Reporting Requirements
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
11/15/2018
FAQ| G. Manual Orders
G3. What does the manualFlag field represent?
11/15/2018
FAQ| B. Reporting Requirements
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B36. How should prices (including fractions) be recorded in CAT?
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
10/30/2018
FAQ| K. Options
K3. Are responses to auctions reportable in Phase 2b?
10/30/2018
Technical Specifications
Industry Member Reporting Scenarios v1.0
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
10/17/2018
FAQ| N. Third Party Reporting
N1. Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?
10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)
09/11/2018
FAQ| B. Reporting Requirements
B10. How should Industry Members report transactions involving fractional shares to the CAT?
09/05/2018
Technical Specifications
OATS To CAT Events Field Level Mapping v1

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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
X. Reference Database
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
X. Reference Database
All Topics