Latest Updates | CATNMSPLAN

03/13/2024
FAQ| K. Options
K26. Are any handling instructions required when a paired options order is routed to an options exchange and the exchange member is willing to meet price improvement offered by other exchange participants?
03/08/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 r3 (Clean)
03/07/2024
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.17
02/29/2024
Announcement
2024 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)
02/29/2024
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.4 (Redlined)
02/29/2024
Reference Material
CAT CAIS Industry Member Reporting Scenarios v2.4
02/28/2024
Event
CAIS Industry Testing Checkpoint Call (February 28, 2024)
02/15/2024
Event
Monthly CAT Update (February 15, 2024)
02/13/2024
Governance
Notice of Filing of Exemptive Request Letter Related to Responses to Electronic RFQs
02/08/2024
Event
Monthly CAIS Industry Testing Checkpoint Call (February 7, 2024)
01/30/2024
Reference Material
Q4 2023 QPR
01/26/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 r2 (Clean)
01/26/2024
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r1
01/22/2024
CAT Alert
CAT Alert 2022-01: Full CAIS Reporting Timeline and Interim Reporting Obligations
01/22/2024
FAQ| Q. Customer and Account Information
Q55. When an Industry Member receives a Material Inconsistency notification, is it required to contact its Customer to confirm the Customer’s information?

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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
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