Latest Updates | CATNMSPLAN

12/04/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r9
12/04/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r9 (Redlined)
12/04/2020
Reference Material
Exemptive Request Letter Related to Initial Data Validation
12/04/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r8
12/04/2020
Technical Specifications
Industry Member Reporting Scenarios v3.7
12/02/2020
Reference Material
CAT CAIS Industry Member Technical Specifications v1.1.2
12/02/2020
Reference Material
CAT CAIS Industry Member Technical Specifications v1.1.2 (Redlined)
12/02/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r4
12/01/2020
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?
12/01/2020
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0 r1 (Redlined)
12/01/2020
Event
Weekly Industry Testing Checkpoint Call (12/01/2020)
12/01/2020
Technical Specifications
Customer & Account Technical Specifications for Industry Members DRAFT v2.0 r1
12/01/2020
Technical Specifications
Customer & Account Technical Specifications for Industry Members Appendix E
11/24/2020
FAQ| B. Reporting Requirements
B66. When is the Order Effective event/Option Order Effective event (MEOE/MOOE) required to be reported to CAT?
11/20/2020
Event
Monthly CAT Implementation Update (11/19/20)

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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