Latest Updates | CATNMSPLAN

09/16/2020
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
09/15/2020
Reference Material
Industry Member CAIS Onboarding Guide v1.2
09/15/2020
Reference Material
Industry Member Schema v2.2.1 r7 (JSON)
09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)
09/15/2020
Technical Specifications
Industry Member Schema v3.1.0 r6 (2c)
09/10/2020
Technical Specifications
Archived Change Log - CAT Reporting Technical Specifications for Industry Members v2.2.1 r7
09/10/2020
Reference Material
Archived Change Log - CAT Reporting Technical Specifications for Industry Members v3.1.0 r6
09/10/2020
Technical Specifications
Archived Change Log - CAT Industry Member Reporting Scenarios v2.8
09/09/2020
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r2
09/09/2020
FAQ| Q. Customer and Account Information
Q31. When introducing brokers and executing brokers use a separate clearing broker for the accounts of their clients, what are the responsibilities for LTID reporting?
09/09/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r7 (Redlined)
09/09/2020
Reference Material
Industry Member Technical Specifications (2a/2b) v2.2.1 r7
09/09/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r2 (Redlined)
09/09/2020
Reference Material
CAT Reporting Technical Specifications for Industry Members v3.1.0 r6
09/09/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r6 (Redlined)

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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