Latest Updates | CATNMSPLAN

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?
09/18/2020
Event
Monthly CAT Implementation Update (9/17/20)
09/16/2020
Event
Exchange Route Matching Industry Webinar (9/16/20)
09/16/2020
FAQ| Q. Customer and Account Information
Q6. Are Industry Members required to report large trader identifiers (“LTIDs”) to the CAT and, if so, when?
09/16/2020
FAQ| B. Reporting Requirements
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?
09/16/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)
09/16/2020
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)

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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