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A. General
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10/05/2021
FAQ
M3.
Can a Firm Designated ID (FDID) change each Trading Day?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M10.
CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
Topics
M. Firm Designated ID
10/05/2021
FAQ
M14.
If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
Topics
M. Firm Designated ID
10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
CAT CAIS Technical Specification Working Group Q&A (October 5, 2021) - Presentation
Audio file
Topics
Q. Customer and Account Information
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
Industry Testing Checkpoint Call (September 28, 2021) - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
09/23/2021
Event
CAT Funding (September 22, 2021)
CAT Funding (September 22, 2021) - Presentation
Audio file
Topics
A. General
09/21/2021
FAQ
E1.
When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
Topics
E. Order Routing and Execution
09/21/2021
FAQ
F2.
When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
Topics
F. Representative Orders
09/21/2021
FAQ
U22.
What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?
Topics
U. Allocations
09/21/2021
FAQ
D23.
How should the accountHolderType be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? Should the accountHolderType represent the status of the IA/money manager or the status of the IA/money manager’s client?
Topics
D. Order Receipt
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