Latest Updates | CATNMSPLAN

01/28/2022
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.2
01/27/2022
FAQ| H. ATS
H4. A firm operates a display ATS that only publishes periodic snapshots of aggregate quotes based on a pre-determined frequency (e.g., every X milliseconds). The aggregate quote published only reflects open interest at the time of the snapshot. Consequently, there may be orders that have been received, executed, canceled, or repriced as the result of a change in NBBO (or other relevant reference price), but no aggregate quote will be published until the time of the next snapshot. Is the ATS required to generate and report order display modifications under these circumstances?
01/25/2022
FAQ| K. Options
K24. When should Industry Members report the ‘FB’ handling instruction on an Order Route event?
01/25/2022
FAQ| Q. Customer and Account Information
Q7. Is an Industry Member permitted to provide Sensitive Identifiers, dates of birth and account numbers as a part of the Customer Identifying Information and Customer Account Information?
01/25/2022
Event
CAT CAIS Technical Specification Working Group - January 25, 2022
01/24/2022
FAQ| D. Order Receipt
D33. How should the tradingSession field be populated for option orders?
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
01/14/2022
FAQ| Q. Customer and Account Information
Q56. What Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
01/13/2022
FAQ| Q. Customer and Account Information
Q10. Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?
01/13/2022
FAQ| Q. Customer and Account Information
Q26. What actions does a Reporting Agent need to take to certify the broker-dealers (CRDs) it will be reporting on behalf of?
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
01/06/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r13
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
01/04/2022
Announcement
2022 Annual Clock Synchronization Certification

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