Latest Updates | CATNMSPLAN

10/05/2021
Reference Material
Industry Member CAIS Onboarding Guide v1.7
10/05/2021
FAQ| M. Firm Designated ID
M2. Can actual account numbers be used as the FDID when submitting data to CAT?
10/05/2021
FAQ| M. Firm Designated ID
M12. Where can I find additional information regarding the Firm Designated Identifier (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M14. If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M6. If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?
10/05/2021
FAQ| M. Firm Designated ID
M3. Can a Firm Designated ID (FDID) change each Trading Day?
10/05/2021
FAQ| M. Firm Designated ID
M10. CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/24/2021
Event
Industry Testing Checkpoint Call (October 26, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/23/2021
CAT Alert
CAT Alert 2021-03-Phase 2d: Transitioning from Phase 2c and Coordinated Industry Tests
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1 (Redlined)
09/21/2021
FAQ| Q. Customer and Account Information
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?
09/21/2021
FAQ| Q. Customer and Account Information
Q52. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?
09/21/2021
FAQ| E. Order Routing and Execution
E1. When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?

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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