Latest Updates | CATNMSPLAN

10/28/2022
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
10/27/2022
Event
CAIS Industry Testing Checkpoint Call (October 26, 2022)
10/26/2022
Event
Monthly CAT Update (October 26, 2022)
10/24/2022
Announcement
2022 Consolidated Audit Trail Advisory Committee List
10/21/2022
Technical Specifications
Industry Member Reporting Scenarios v4.10
10/21/2022
Technical Specifications
Industry Member Reporting Scenarios v4.10 (Redlined)
10/19/2022
Event
CAIS Industry Testing Checkpoint Call (October 19, 2022)
10/18/2022
Event
CAT CAIS Technical Specifications Working Group - October 18, 2022
10/18/2022
FAQ| U. Allocations
U31. Since Clearing Firms rely on their correspondent firms to provide account holder information, can a clearing firm reporting an allocation event (MEPA/MOPA) or amended allocation event (MEAA/MOAA) report the accountHolderType as provided by its correspondent firm?
10/13/2022
Event
CAIS Industry Testing Checkpoint Call (October 12, 2022)
10/06/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
10/06/2022
Event
CAIS Industry Testing Checkpoint Call (October 05, 2022)
10/04/2022
FAQ| Q. Customer and Account Information
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?
10/04/2022
FAQ| Q. Customer and Account Information
Q67. Are Industry Members required to report addresses at the Customer level and the account level?
10/04/2022
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?

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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