Latest Updates | CATNMSPLAN

01/04/2023
Event
CAIS Industry Testing Checkpoint Call (January 4, 2023)
01/03/2023
Announcement
2023 Annual Clock Synchronization Certification
12/22/2022
Event
CAIS Industry Testing Checkpoint Call (December 21, 2022)
12/21/2022
Reference Material
Industry Member Schema v4.0.0 r18 (2d)
12/20/2022
Event
CAT Technical Specifications Working Group - December 20, 2022
12/16/2022
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r18
12/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r18 (Redlined)
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
12/15/2022
Event
CAIS Industry Testing Checkpoint Call (December 14, 2022)
12/08/2022
Event
CAIS Industry Testing Checkpoint Call (December 7, 2022)
12/07/2022
FAQ| B. Reporting Requirements
B59. What are the reporting requirements when a Stop, Stop Limit, Stop on Quote, or Stop Limit on Quote order is triggered?
12/07/2022
FAQ| B. Reporting Requirements
B62. What are the CAT reporting requirements for Trailing Stop orders?
12/07/2022
FAQ| B. Reporting Requirements
B47. Order Internal Route Modified events are not required to be reported to CAT until Phase 2c. In Phase 2a, what orderID should be populated on events subsequent to the internal route modification (e.g., MEOR, MEOT)?
12/07/2022
FAQ| B. Reporting Requirements
B60. What party has the obligation to report the Order Effective event/Option Order Effective event/Multi-Leg Order Effective event (MEOE/MOOE/MLOE) to CAT when all underlying conditions are met such that the order becomes and remains effective?
12/05/2022
FAQ| Q. Customer and Account Information
Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or input identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?

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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