Latest Updates | CATNMSPLAN

03/11/2021
Event
Phase 2d CAT Reporting Requirements for OTC Link ATS Subscribers (March 10, 2021)
03/10/2021
Event
Industry Webinar - CAT Connectivity (March 9, 2021)
03/09/2021
FAQ| B. Reporting Requirements
B49. This FAQ has been retired. Please refer to FAQ U26.
03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1- Clean
03/09/2021
FAQ| U. Allocations
U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?
03/09/2021
FAQ| J. OTC Equity Securities
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?
03/09/2021
FAQ| J. OTC Equity Securities
J2. What are the CAT reporting responsibilities with respect to OTC Link messages?
03/09/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r1 (Redlined)
03/09/2021
FAQ| A. General
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.1
03/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r11
03/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r7 (Clean)
03/05/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.10

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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