Latest Updates | CATNMSPLAN

07/10/2020
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview
07/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0
07/08/2020
Event
Weekly Industry Testing Checkpoint Call (7/7/2020)
07/06/2020
Technical Specifications
Archived Change Log - CAT Industry Member Reporting Scenarios v2.6
07/06/2020
Technical Specifications
Industry Member Schema v3.1.0 (2c)
07/01/2020
Technical Specifications
Planned Industry Member Technical Specification Updates (6/30/20)
07/01/2020
FAQ| E. Order Routing and Execution
E8. This FAQ has been retired. Please refer to FAQ B57.
07/01/2020
FAQ| E. Order Routing and Execution
E3. BD A, an Industry Member CAT Reporter, receives a customer order for 10,000 shares and subsequently routes 2,000 shares of the order to Exchange A, another CAT Reporter. BD A’s trader or trading system subsequently modifies the price of the 2,000 share order routed to Exchange A. Is BD A required to report the modification of the 2,000 share order routed to Exchange A?
07/01/2020
FAQ| D. Order Receipt
D26. What is the difference between ‘CND’ and ‘CMC’ handlingInstructions?
07/01/2020
FAQ| B. Reporting Requirements
B61. What are the CAT reporting requirements for Stop Stock orders?
07/01/2020
Event
Separation of Production and Test User Accounts
07/01/2020
FAQ| B. Reporting Requirements
B58. How should the orderType field be populated for orders that are not market orders, but are not received/originated or routed with a specific limit price?
07/01/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Certain Verbal Activity on and off Exchange Trading Floors
07/01/2020
FAQ| E. Order Routing and Execution
E9. This FAQ has been retired. Please refer to FAQ B58.
07/01/2020
FAQ| B. Reporting Requirements
B60. When an order or underlying condition of an order becomes effective, what party has the obligation to report the Order Effective event (MEOE) to CAT?

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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