Skip to main content
Welcome to the redesigned CAT NMS Plan website. Please take this
survey
and provide your feedback.
Content type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
CAT Alerts
Timeline
About
CAT NMS Plan
Exemptive Request Letters
One-time Written Assessments
Plan Participants
Content type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2020
2019
2018
2017
2016
2015
2014
2013
2012
Latest Updates
Home
Subscribe
03/18/2020
Event
Weekly Industry Testing Checkpoint Call (3/17/2020)
03/17/2020
Announcement
No Action Letter
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter
03/12/2020
FAQ
| S. Security
S5.
What type of information is in the CAT?
03/12/2020
FAQ
| S. Security
S8.
Who has access to CAT Data?
03/12/2020
FAQ
| S. Security
S11.
What happens if there is unauthorized access to CAT Data?
03/12/2020
FAQ
| B. Reporting Requirements
B47.
Order Internal Route Modified events are not required to be reported to CAT until Phase 2c. In Phase 2a, what orderID should be populated on events subsequent to the internal route modification (e.g., MEOR, MEOT)?
03/12/2020
FAQ
| S. Security
S4.
What is the CAT?
03/12/2020
FAQ
| S. Security
S7.
How does the CAT protect social security numbers?
03/12/2020
FAQ
| S. Security
S10.
How do the Plan Processor and Participants protect CAT Data?
03/12/2020
FAQ
| M. Firm Designated ID
M15.
What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?
03/12/2020
FAQ
| K. Options
K13.
If an Industry Member manually initiates a proprietary order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
03/12/2020
FAQ
| S. Security
S6.
What is Customer Account Information and Customer Identifying Information?
03/12/2020
FAQ
| Q. Customer and Account Information
Q6.
Are Industry Members required to report large trader identifiers (“LTIDs”) to the CAT and, if so, when?
03/12/2020
FAQ
| S. Security
S9.
How can CAT Data be used?
Pagination
«
« First
‹
‹ Previous
1
2
3
4
5
6
7
8
9
…
›
Next ›
»
Last »