Latest Updates | CATNMSPLAN

09/22/2020
FAQ| U. Allocations
U19. How should the DVPCustodianID field in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?
09/22/2020
FAQ| U. Allocations
U18. Are Industry Members required to report Amended Allocation events (MEAA) for allocations which occurred before the date an Industry Member is required to report allocation events to CAT?
09/22/2020
FAQ| Q. Customer and Account Information
Q34. Where can I find a list of the LTIDs?
09/22/2020
FAQ| U. Allocations
U20. When converting the price of a non-US dollar currency for the purpose of reporting a CAT Allocation event, is it acceptable to use the end of day conversion rate?
09/22/2020
Event
CAT Technical Specification Working Group Q&A - 9/22/20
09/22/2020
FAQ| Q. Customer and Account Information
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?
09/22/2020
Event
Weekly Industry Testing Checkpoint Call (9/22/2020)
09/22/2020
FAQ| Q. Customer and Account Information
Q35. Where can Industry Members find information regarding production readiness testing requirements for CAT CAIS?
09/22/2020
FAQ| Q. Customer and Account Information
Q32. Can production data be used in the CAT CAIS Test environment?
09/22/2020
FAQ| B. Reporting Requirements
B7. This FAQ has been retired. Please refer to FAQ I9.
09/18/2020
Event
Monthly CAT Implementation Update (9/17/20)
09/16/2020
FAQ| Q. Customer and Account Information
Q6. Are Industry Members required to report large trader identifiers (“LTIDs”) to the CAT and, if so, when?
09/16/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)
09/16/2020
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)?
09/16/2020
Event
Exchange Route Matching Industry Webinar (9/16/20)

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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