Latest Updates | CATNMSPLAN

08/17/2023
Event
Monthly CAT Update (August 17, 2023)
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
08/03/2023
Governance
Proposed CAT NMS Plan Amendment to Implement a Revised Linkage Timeline (8/3/2023)
08/03/2023
Governance
Response to Comments on Order Instituting Proceedings on Proposed CAT NMS Plan Amendment Related to Funding Proposal (7/28/23)
08/03/2023
Governance
SEC Granting Temporary Exemptive Relief of Certain Floor Activities and Upstairs Activity
08/02/2023
FAQ| Q. Customer and Account Information
Q28. What is expected to be in CAIS LTID on April 26, 2021, when mandatory reporting starts?
08/02/2023
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
08/02/2023
Announcement
Update on CAIS Compliance Deadlines
08/02/2023
FAQ| Q. Customer and Account Information
Q40. The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?
08/02/2023
FAQ| Q. Customer and Account Information
Q59. What FDIDs are in scope for Full CAIS reporting?

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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