Latest Updates | CATNMSPLAN

05/08/2026
Reference Material
CAT Billing Scenarios v1.1.4 (Clean)
05/08/2026
FAQ| V. CAT Billing
V1. How is the cost of the CAT being funded?
05/08/2026
Basic page
Reference Database Known Issues List
05/08/2026
FAQ| M. Firm Designated ID
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?
05/08/2026
FAQ| V. CAT Billing
V30. Can an Industry Member receive an invoice with more than one CAT fee in one month?
05/08/2026
Reference Material
Billing Trade Details Schema - On Exchange
05/08/2026
Technical Specifications
CAT Billing Scenarios v1.1.4 (Redlined)
05/08/2026
Reference Material
Reference Data File Schema
05/07/2026
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
05/05/2026
FAQ| X. Reference Database
X2. Is an Industry Member permitted to submit a CAT Customer’s Sensitive Identifier, name, address, date of birth or account number to the Reference Database?
05/05/2026
FAQ| X. Reference Database
X9. Are regulators expecting complete accuracy with respect to the roleEndReason field?
05/05/2026
FAQ| M. Firm Designated ID
M10. This FAQ has been retired and archived. Please refer to FAQ M2.
05/05/2026
FAQ| A. General
A34. Why is there a question on the CAT Registration Forms (Transaction and Reference Database Registration) asking for a Legal Entity Identifier (LEI)?
05/05/2026
FAQ| X. Reference Database
X17. How must a CAT Customer’s tidValue (“TID value”) be generated when the CAT Customer does not have a US-assigned Input Identifier but has more than one foreign Input Identifier of a specific type– such as multiple Tax Identifiers or multiple Legal Entity Identifiers (LEI)?
05/05/2026
FAQ| X. Reference Database
X13. Must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database when there are standing instructions on the CAT Customer’s account, when the Industry Member originates an order in a CAT Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a CAT Customer’s account to facilitate operational processes?

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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
X. Reference Database
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
X. Reference Database
All Topics