Latest Updates | CATNMSPLAN

07/27/2020
Technical Specifications
Customer and Account Industry Member Submission Schema v1.0.0
07/23/2020
Event
Interfirm Linkage Overview (7/22/2020)
07/22/2020
Governance
CAT Implementation Plan
07/21/2020
Event
Weekly Industry Testing Checkpoint Call (7/21/2020)
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List
07/17/2020
FAQ| U. Allocations
U11. My firm’s allocations typically occur around 10 pm ET. Is my firm required to report the Post-Trade Allocation events (MEPA) and Option Post-Trade Allocation events (MOPA) by 8 am the next day?
07/17/2020
FAQ| B. Reporting Requirements
B46. This FAQ has been retired. Please refer to FAQ U1.
07/17/2020
FAQ| U. Allocations
U8. Are allocations to a registered investment advisor (RIA)/money manager’s average price account required to be reported even if the shares are only held there temporarily before being allocated to individual customer accounts? For example, an RIA manages two client accounts at a self-clearing firm. The RIA places a single order in its account that will be later allocated between the two customer accounts. The shares are booked to an average price account designated for the RIA at the self-clearing firm until the RIA provides subaccount allocation instructions and the allocations are made to the individual customer accounts.
07/17/2020
FAQ| U. Allocations
U5. Are allocations to a firm owned or controlled account required to be reported? For example, a registered representative of a self-clearing broker-dealer exercises discretion over multiple retail customer accounts and originates a single aggregated order that will be allocated to the specific customer accounts post trade. Shares are booked to a firm average price account until the sub-account allocations are made to the individual customer accounts.
07/17/2020
FAQ| U. Allocations
U2. What is an Allocation Report and who is required to report it?
07/17/2020
FAQ| U. Allocations
U12. In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?
07/17/2020
FAQ| U. Allocations
U9. What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
07/17/2020
FAQ| U. Allocations
U6. Are allocations to DVP accounts required to be reported? For example, an institution places an order with an executing broker-dealer and gives instructions to DVP the shares to two different custodial broker-dealers.
07/17/2020
FAQ| U. Allocations
U3. When an order is placed directly in a customer account, is the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
07/17/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0 r1

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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
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
All Topics