Latest Updates | CATNMSPLAN

04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
04/15/2021
FAQ| Q. Customer and Account Information
Q20. When is an LTID considered to be reportable into CAIS?
04/15/2021
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
04/14/2021
Event
Industry Testing Checkpoint Call (April 13, 2021)
04/13/2021
Technical Specifications
Customer and Account Industry Member Submission Schema v1.2
04/08/2021
Reference Material
Industry Member Schema v4.0.0 r8 (2d)
04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
04/06/2021
CAT Alert
CAT Alert 2021-01- Phase 2c Cutover- Transitioning from Phase 2a/2b to Phase 2c Data Submissions
04/06/2021
Event
CAT Technical Specification Working Group Q&A - 4/6/21
04/06/2021
FAQ| U. Allocations
U19. How should the DVPCustodianID field in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?
04/06/2021
FAQ| U. Allocations
U26. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or other non-CAT reportable transaction to CAT?
04/06/2021
FAQ| Q. Customer and Account Information
Q42. A broker-dealer systematized a Customer Record on a specific date, but the Customer had opened an account with the firm prior to that date. Is it permitted for the broker-dealer to report the later date when the broker-dealer systematized the Customer record as the account effective date?
04/06/2021
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?
04/06/2021
FAQ| U. Allocations
U24. Is an Industry Member that is a clearing broker required to report an allocation report before all required information about the allocation is known? Specifically, allocations to DVP accounts require the DVPCustodianID field to be populated. How would the clearing firm report an allocation report if the DVPCustodianID is not yet available?
04/05/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2 (Redlined)

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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