Latest Updates | CATNMSPLAN

05/24/2023
Reference Material
CAT Reporter Agreement (Redlined PDF for reference)
05/23/2023
FAQ| Q. Customer and Account Information
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or Input Identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?
05/22/2023
Governance
Notice of Filing of Exemptive Request Letter Related to the Fourth Financial Accountability Milestone
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
05/18/2023
Governance
Response to Comments on Proposed CAT NMS Plan Amendment Related to Funding Proposal
05/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (May 10, 2023)
04/28/2023
Reference Material
Q1 2023 QPR
04/24/2023
Basic page
Reporter Portal
04/21/2023
FAQ| D. Order Receipt
D10. How should orders received with instructions from the customer to buy as much stock as possible for a specific dollar amount (e.g., $1,000), commonly referred to as "cash" orders, be reported to CAT?
04/21/2023
Event
Monthly CAT Update (April 20, 2023)
04/20/2023
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r19
04/19/2023
Governance
Extension Request Letter Related to the July 8 Order
04/18/2023
Event
CAT Technical Specifications Working Group - April 18, 2023
04/17/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r18
04/06/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (April 5, 2023)

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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