Latest Updates | CATNMSPLAN

03/29/2021
FAQ| U. Allocations
U14. When may the Amended Allocation event (MEAA)/Option Post-Trade Amended Allocation event (MOAA) be reported to CAT?
03/25/2021
FAQ| K. Options
K15. How must the priceType field be populated on multi-leg events?
03/25/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
03/24/2021
Reference Material
CAT CAIS Reporter User Guide v1.2.0
03/24/2021
Reference Material
Industry Member CAIS Onboarding Guide v1.5
03/24/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0-r1
03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Clean)
03/23/2021
Event
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021)
03/23/2021
FAQ| A. General
A33. Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?
03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Redlined)
03/23/2021
Event
Transformed Identifiers Creation Webinar and Monthly CAIS/LTID Industry Testing Checkpoint Call (May 5, 2021)
03/23/2021
FAQ| Q. Customer and Account Information
Q10. Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
03/12/2021
FAQ| B. Reporting Requirements
B69. How should the price and eventTimestamp fields be populated on a New Order event (MENO)/ Order Accepted event (MEOA) for a trade priced at the Net Asset Value (NAV) if the price is not known until after 4:15:00 pm ET on the date of origination/receipt?
03/11/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)

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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