Latest Updates | CATNMSPLAN

05/20/2022
Basic page
Video Tutorials
05/19/2022
Event
CAIS Industry Testing Checkpoint Call (May 18, 2022)
05/17/2022
FAQ| Q. Customer and Account Information
Q62. Since clearing firms rely on their correspondent firms to provide Customer information required for CAIS reporting, can a clearing firm, reporting its version of a Customer on an FDID record, replicate the attribute value for certain required data elements as provided by its correspondent firm?
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
05/17/2022
FAQ| Q. Customer and Account Information
Q61. Must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS when there are standing instructions on the Customer’s account, when the Industry Member originates an order in a Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a Customer’s account to facilitate operational processes?
05/16/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r15
05/15/2022
Reference Material
May 13, 2022 Letter to SEC- Alternative Funding Model ("Executed Share Model")
05/05/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9.1
05/05/2022
Event
CAIS Industry Testing Checkpoint Call (May 4, 2022)
05/04/2022
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r9
05/04/2022
Technical Specifications
05/03/2022
FAQ| Q. Customer and Account Information
Q60. If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in CAIS?
04/29/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r13
04/26/2022
Event
CAT Technical Specification Working Group - April 26, 2022
04/22/2022
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.3

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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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics