Latest Updates | CATNMSPLAN

12/14/2021
Event
CAT CAIS Technical Specification Working Group Q&A - December 14, 2021
12/14/2021
FAQ| E. Order Routing and Execution
E10. Can an order be marked as Short Exempt on the Order Route event if the order was reported as a regular short sale on the related New Order event?
12/14/2021
FAQ| F. Representative Orders
F1. What is a representative order?
12/09/2021
Reference Material
December 8, 2021 Letter to SEC- Withdrawal of Funding Model Amendment
12/08/2021
Technical Specifications
Industry Member Reporting Scenarios v4.8
12/08/2021
Technical Specifications
Industry Member Reporting Scenarios v4.8 (Redlined)
12/08/2021
Event
Industry Testing Checkpoint Call (December 7, 2021)
12/07/2021
CAT Alert
CAT Alert 2021-03-Phase 2d: Transitioning from Phase 2c and Coordinated Industry Tests
12/07/2021
FAQ| B. Reporting Requirements
B76. Are Industry Members required to report Route Cancelled events to CAT for “mass cancels” initiated by a single instruction given to an execution venue?
12/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (December 1, 2021)
12/01/2021
FAQ| Q. Customer and Account Information
Q55. When an Industry Member receives a Material Inconsistency notification, is it required to contact its Customer to confirm the Customer’s information?
12/01/2021
Event
Industry Testing Checkpoint Call (November 30, 2021)
12/01/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r7
11/30/2021
FAQ| F. Representative Orders
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?
11/30/2021
FAQ| B. Reporting Requirements
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?

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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