Latest Updates | CATNMSPLAN

09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
09/22/2022
FAQ| Q. Customer and Account Information
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?
09/20/2022
FAQ| Q. Customer and Account Information
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
09/20/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Redlined)
09/20/2022
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Clean)
09/15/2022
Event
CAIS Industry Testing Checkpoint Call (September 14, 2022)
09/09/2022
Reference Material
September 8, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
09/08/2022
Basic page
CAT Transaction- Known Issues List
09/07/2022
FAQ| Q. Customer and Account Information
Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?
09/07/2022
Reference Material
Industry Member Schema v4.0.0 r17 (2d)
09/07/2022
Event
CAIS Industry Testing Checkpoint Call (September 07, 2022)
09/07/2022
FAQ| Q. Customer and Account Information
Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications by December 12, 2022 per the implementation schedule as set forth in CAT Alert – 2022-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by December 12, 2022 (the Full CAIS Compliance Go-Live date)?

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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