Latest Updates | CATNMSPLAN

05/23/2022
Event
CAT CAIS Technical Specifications Working Group - May 3, 2022
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
05/17/2022
Technical Specifications
CAIS TIDS Feedback Schema
05/17/2022
Technical Specifications
CAIS Data Feedback Schema
05/17/2022
FAQ| T. Production Readiness Testing
T7. Clarifications to the descriptions of the ‘AUTHREP’ and ‘AUTH3RD’ values for the role field were published in version 2.0 r8 of the CAT Reporting Customer and Account Technical Specifications for Industry Members-Full CAIS (“Technical Specifications”) on April 8, 2022. The revised descriptions will require a change to the value my firm must populate in the role field. Given the time constraints between publication and the Production Readiness Certification Deadline for Full CAIS (July 1, 2022), is my firm required to change the ‘AUTH3RD’ value to ‘AUTHREP’ for FDID records my firm intended to use to conduct testing for production readiness for Full CAIS reporting?
05/17/2022
Technical Specifications
CAIS Submission Inconsistencies Feedback Schema
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
05/17/2022
FAQ| Q. Customer and Account Information
Q61. Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?
05/17/2022
FAQ| Q. Customer and Account Information
Q62. Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?
05/17/2022
Technical Specifications
CAIS TIDS Schema
05/17/2022
Technical Specifications
CAIS Nightly Inconsistencies Feedback Schema
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15 (Redlined)
05/15/2022
Reference Material
May 13, 2022 Letter to SEC- Alternative Funding Model ("Executed Share Model")
05/05/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9.1 (Redlined)

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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