Latest Updates | CATNMSPLAN

09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)
09/22/2020
Event
Weekly Industry Testing Checkpoint Call (9/22/2020)
09/22/2020
FAQ| Q. Customer and Account Information
Q35. Where can Industry Members find information regarding production readiness testing requirements for CAT CAIS?
09/22/2020
Reference Material
Industry Member Onboarding Guide v1.15
09/22/2020
FAQ| Q. Customer and Account Information
Q32. Can production data be used in the CAT CAIS Test environment?
09/22/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.2
09/22/2020
Technical Specifications
Known Issues List (9/22/20)
09/22/2020
FAQ| I. Foreign Securities
I9. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?
09/22/2020
FAQ| Q. Customer and Account Information
Q37. How do the CAT reporting requirements for Large Trader IDs (LTIDs) and Legal Entity Identifiers (LEIs) differ?
09/22/2020
FAQ| U. Allocations
U17. Are changes to CAT reportable attributes of an allocation after the original booking of shares/contracts that occur post-settlement required to be reported to CAT as an Amended Allocation event (MEAA)?
09/22/2020
FAQ| Q. Customer and Account Information
Q33. May an Industry Member leverage a previously established Reporting Relationship for CAIS? For example, if an Industry Member has already authorized a submitter to report transaction data to CAT, must that Industry Member also authorize the same submitter to report data to CAIS?
09/22/2020
Reference Material
CAT CAIS Industry Member Reporting Scenarios v1.1.2- Redline
09/22/2020
FAQ| U. Allocations
U19. How should the DVPCustodianField in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?
09/22/2020
FAQ| U. Allocations
U18. Are Industry Members required to report Amended Allocation events (MEAA) for allocations which occurred before the date an Industry Member is required to report allocation events to CAT?
09/22/2020
FAQ| Q. Customer and Account Information
Q34. Where can I find a list of the LTIDs?

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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