Latest Updates | CATNMSPLAN

04/17/2025
Event
Monthly CAT Update (April 17, 2025)
04/16/2025
Technical Specifications
Industry Member Reporting Scenarios v4.14
04/14/2025
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.1-r1
04/14/2025
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants Addendum v1.0.0
04/07/2025
Reference Material
CAT Billing Scenarios v1.1.2
04/01/2025
Reference Material
CAT CAIS Reporter Portal User Guide v2.7.0
04/01/2025
Event
Monthly CAT Update (March 20, 2025)
03/31/2025
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form
03/31/2025
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT
03/31/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r7
03/25/2025
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2.0 r3 (Clean)
03/25/2025
FAQ| Q. Customer and Account Information
Q19. When will the FDID Refresh Reports be delivered in the Production Environment and by what date must Industry Members comply with the Periodic Customer & Account Information Refresh requirement?
03/25/2025
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2.0 r3 (Redlined)
03/24/2025
Governance
Notice of Filing of Exemptive Request Letter Related to Timestamp Granularity
03/21/2025
Reference Material
Billing Trade Details Schema - On Exchange

« First
‹ Previous
1
2
3
4
5
6
7
8
9
…
Next ›
Last »

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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics