Latest Updates | CATNMSPLAN

06/13/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Verbal Floor and Upstairs Activity
06/09/2022
Event
CAIS Industry Testing Checkpoint Call (June 8, 2022)
06/07/2022
Reference Material
Linkage Summary Feedback File – JSON Sample
06/07/2022
Reference Material
Linkage Summary Feedback File – CSV Sample
06/06/2022
Reference Material
CAT NMS LLC 2021 and 2020 Financial Statements
06/02/2022
Event
CAIS Industry Testing Checkpoint Call (June 1, 2022)
05/24/2022
Event
CAT Transaction and CAIS Technical Specification Working Group - May 24, 2022
05/23/2022
Reference Material
May 20, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
05/23/2022
Event
CAT CAIS Technical Specifications Working Group - May 3, 2022
05/20/2022
Basic page
Video Tutorials
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
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?
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15

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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
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