Latest Updates | CATNMSPLAN

02/26/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
02/25/2021
Event
Industry Member Report Card 101 Webinar (2/24/21)
02/23/2021
FAQ| Q. Customer and Account Information
Q39. A customer with a prime broker opens an RVP/DVP account at the firm. The account is opened in the name of the Prime Broker F/B/O Customer. Whose address and transformed identifier should be reported to CAIS for that account?
02/23/2021
FAQ| B. Reporting Requirements
B72. Is my response to a Request for Quotes (“RFQ”) or other solicitation process required to be reported as a New Order event (“MENO”) or New Option Order event (“MONO”) in Phase 2a or Phase 2b if my response is selected as the winning bid?
02/23/2021
Technical Specifications
Customer and Account Industry Member Submission Schema v1.2
02/23/2021
FAQ| Q. Customer and Account Information
Q40. The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS in July 2022. What is an “Active Account”?
02/23/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
02/23/2021
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. In multi-prime scenarios, the clearing firm must receive the DVPCustodianID from the client before the allocation to the specific prime broker can be booked. How would the clearing firm report an allocation report if the DVPCustodianID is not yet available?
02/23/2021
FAQ| E. Order Routing and Execution
E25. When should the cancelFlag field be set to true on the Trade event (“MEOT”)?
02/23/2021
FAQ| Q. Customer and Account Information
Q41. FAQ Q40 states that all accounts with any CAT-reportable activity on or after January 11, 2022 must be reported to CAIS on or by July 11, 2022. Are updates or changes to customer and account information that occur between January 11, 2022 and July 10, 2022 required to be captured and reported to CAIS on July 11, 2022?
02/22/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)
02/22/2021
Event
Industry Webinar - CAT Connectivity (March 9, 2021)
02/22/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0
02/19/2021
Event
Monthly CAT Implementation Update (2/18/21)
02/17/2021
Event
CAIS Onboarding & LTID Submission for Small Firms (2/17/21)

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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