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Phase 2d

​Last Updated: 09/06/2023

# Status Summary Posted Date Spec Publish  Date Spec Version  Effective Date - Test Effective Date - Prod
1 Published Validate values supplied in firmDesignatedID fields against CAIS data. 12/22/2021 3/25/2022 4.0.0 r14 5/16/2022 TBD
2 Published Add new intra-firm linkage warning error code: 395 - Early Reported Event. 4/29/2022 5/16/2022 4.0.0 r15 6/20/2022 TBD
3 Published Provide a new linkage summary feedback file containing missing or invalid FDIDs. 4/29/2022 5/16/2022 4.0.0 r15 6/20/2022 TBD
4 Published CAT will consider both the tradeDate and the Event Date when validating that the value provided on the firmDesignatedID on allocation events are valid in CAIS.    12/9/2022 12/16/2022 4.0.0 r18 1/10/2023 TBD
5 Published Add a new validation that when ‘CASH’ is reported in the handlingInstructions field on CAT event, then the quantity field on the event must be populated with a value of zero. 6/21/2023 7/31/2023 4.0.0 r20 9/25/2023 12/11/2023
6 Published Add new ‘MEMXOP’ value for the following fields: destination, marketCenterID and senderIMID to support MEMX Options exchange. 6/21/2023 7/31/2023 4.0.0 r20 7/3/2023 9/18/2023
7 Published Add manualFlag and electronicTimestamp fields to Child Order events (MECO, MECOM, MECOC, MOCO, MOCOM, MOCOC,  MLCO, MLCOM, MLCOC) for optional reporting of electronic timestamp for manual child orders.  7/12/2023 7/31/2023 4.0.0 r20 9/25/2023 12/11/2023
8 Published

Electronic RFQ Responses (Included in July 2023 Spec Publication, but not deployed into Test or Production until 2024)

•    Add new quote events to support reporting of RFQ responses for Options (MONQ, MORQ, MOQR, MOQM, and MOQC) and Multi-Leg (MLNQ, MLRQ, MLQS, MLQR, MLQC, and MLQM)
•    Add new fields to equity quote events:
o    RFQFlag to MENQ and MEQR
o    relativePrice to MENQ, MERQ, MEQR, and MEQM
•    Add new destinationType value of  ‘S’
•    New Error Codes and Validations

7/25/2023 7/31/2023 4.0.0 r20 2Q2024 3Q2024


Phase 2a/2b

​Last Updated: 01/11/2022

 # Status Summary Publish Date Spec Version
    N/A as of 01/11/2022    


Phase 2c

​Last Updated: 01/11/2022

# Status Summary Publish Date Spec Version
1 Open Update section 3.4 to clarify requirements for options prior to Phase 2d outlined in Scenario 3.7.3. N/A N/A
2 Open Clarify description of solicitationFlag field to be consistent with new FAQ C8. N/A N/A



*Planned Technical Specification Updates are subject to approval by the CAT NMS Plan Operating Committee.