Latest Updates | CATNMSPLAN

05/28/2020
Reference Material
FINRA CAT Onboarding Guide v1.11
05/27/2020
Event
Weekly Industry Testing Checkpoint Call (5/26/2020)
05/26/2020
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.6
05/26/2020
Technical Specifications
Industry Member Test Environment Known Issues List (5/26/20)
05/21/2020
Event
Intrafirm Linkage Overview (5/20/2020)
05/21/2020
FAQ| A. General
A21. This FAQ has been retired. Please refer to FAQs A5, A6 and A7.
05/21/2020
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
05/21/2020
FAQ| T. Production Readiness Testing
T4. Is production readiness testing available after June 8, 2020?
05/21/2020
FAQ| M. Firm Designated ID
M7. How will regulators use the FDID?
05/21/2020
Event
CAT Technical Specification Working Group Q&A - 5/21/20
05/21/2020
FAQ| T. Production Readiness Testing
T6. By what date must Industry Members that only handle orders in options complete production readiness testing?
05/21/2020
FAQ| M. Firm Designated ID
M8. When will Industry Members be required to report the FDID to the CAT?
05/19/2020
FAQ| Q. Customer and Account Information
Q15. If an Industry Member ends an LTID to FDID association for a legitimate reason (such as the customer no longer qualified as a large trader), and later is required to reestablish it, what should the ltidEffectiveDate be?
05/19/2020
Event
Weekly Industry Testing Checkpoint Call (5/19/2020)
05/19/2020
FAQ| D. Order Receipt
D15. If the handlingInstructions reported with an order contains instructions that reflect the order is only eligible to be traded at the time it is received, such as "Fill or Kill", or implies the time the order is eligible, such as "Market on Open", is the tradingSession field still required to be populated?

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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
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
All Topics