Latest Updates | CATNMSPLAN

07/01/2020
FAQ| E. Order Routing and Execution
E8. This FAQ has been retired. Please refer to FAQ B57.
07/01/2020
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?
06/30/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1.1 (Clean)
06/30/2020
Reference Material
FINRA CAT Onboarding Guide v1.13
06/30/2020
Technical Specifications
Industry Member Reporting Scenarios v2.6 (Redlined)
06/30/2020
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0
06/30/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v4.0.0
06/30/2020
Technical Specifications
Industry Member Reporting Scenarios v2.6
06/30/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1.1 (Redlined)
06/30/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 (Redlined)
06/30/2020
Event
CAT Technical Specification Working Group Q&A - 6/30/20
06/29/2020
Reference Material
Industry Member Schema v2.2.1 r6 (JSON)
06/26/2020
Technical Specifications
Archived Change Log - CAT Reporting Technical Specifications for Industry Members v2.2.1 r6
06/25/2020
FAQ| A. General
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
06/23/2020
Event
Daily Industry Testing Checkpoint Call (6/23/2020)

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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
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