Latest Updates | CATNMSPLAN

07/26/2022
FAQ| Q. Customer and Account Information
Q63. How must an FDID Record be reported to CAIS when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
07/21/2022
Basic page
CAT CAIS- Known Issues List - LTID Phase
07/21/2022
Basic page
Planned CAIS LTID Phase Technical Specification Updates
07/20/2022
Event
CAIS Industry Testing Checkpoint Call (July 20, 2022)
07/14/2022
Event
CAIS Industry Testing Checkpoint Call (July 13, 2022)
07/08/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r14
07/06/2022
Event
CAIS Industry Testing Checkpoint Call (July 6, 2022)
07/01/2022
Governance
Notice of Filing of Exemptive Request Letter to Related to Phase 2e Reporting Compliance
06/29/2022
Event
CAIS Industry Testing Checkpoint Call (June 29, 2022)
06/28/2022
FAQ| B. Reporting Requirements
B68. If an Industry Member uses the same account for both market making and non-market making proprietary activity, what accountHolderType should be used when reporting to CAT?
06/28/2022
Event
Monthly CAT Update (June 28, 2022)
06/23/2022
Event
CAIS Industry Testing Checkpoint Call (June 22, 2022)
06/21/2022
Event
CAT CAIS Technical Specification Working Group - June 21, 2022
06/16/2022
Event
CAIS Industry Testing Checkpoint Call (June 15, 2022)
06/14/2022
Event
CAT CAIS Technical Specification Working Group - June 14, 2022

« First
‹ Previous
…
22
23
24
25
26
27
28
29
30
…
Next ›
Last »

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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics