Latest Updates | CATNMSPLAN

11/24/2020
FAQ| B. Reporting Requirements
B66. When is the Order Effective event/Option Order Effective event (MEOE/MOOE) required to be reported to CAT?
11/20/2020
Event
Monthly CAT Implementation Update (11/19/20)
11/18/2020
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (11/18/2020)
11/18/2020
Reference Material
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r3
11/17/2020
Event
Weekly Industry Testing Checkpoint Call (11/17/2020)
11/17/2020
FAQ| B. Reporting Requirements
B63. How should the initiator field be populated if an Industry Member modifies or cancels an order based on implicit customer instructions communicated with the order, such as with certain ATS order types?
11/17/2020
FAQ| B. Reporting Requirements
B62. What are the CAT reporting requirements for Trailing Stop orders?
11/17/2020
FAQ| B. Reporting Requirements
B57. How should the orderType and handlingInstructions fields be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders?
11/17/2020
FAQ| B. Reporting Requirements
B67. FAQ B57 provides guidance on how the handlingInstructions field should be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders. In instances where it is known that the order is a Stop order, but the exact stop price is unknown because it is either based on an underlying condition or will be determined by the destination venue, then how should the Stop be reported in the handlingInstructions?
11/17/2020
FAQ| B. Reporting Requirements
B12. Are Industry Members required to report the equity leg of a complex order in Phase 2a of the revised implementation schedule?
11/17/2020
FAQ| D. Order Receipt
D35. How should Industry Members populate the ‘SMT’ handlingInstructions value?
11/17/2020
FAQ| B. Reporting Requirements
B60. What party has the obligation to report the Order Effective event/Option Order Effective event (MEOE/MOOE) to CAT when all underlying conditions are met such that the order become and remain effective?
11/17/2020
FAQ| D. Order Receipt
D26. What is the difference between ‘CND’ and ‘CMC’ handlingInstructions?
11/17/2020
FAQ| B. Reporting Requirements
B59. What are the reporting requirements when a Stop, Stop Limit, Stop on Quote, or Stop Limit on Quote order is triggered?
11/17/2020
Event
Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)

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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
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
All Topics