Latest Updates | CATNMSPLAN

11/16/2021
FAQ| P. Feedback and Error Correction
P10. When must an Industry Member resubmit a file that is rejected by CAT?
11/12/2021
FAQ| B. Reporting Requirements
B54. This FAQ was retired and archived concurrent with OATS retirement. Please see FAQ B2 for more information on the timestamp requirements for CAT.
11/12/2021
FAQ| B. Reporting Requirements
B54. Do the timestamps captured in CAT have to equal the timestamps captured in OATS? For example, if a firm’s system captures nanoseconds, but timestamps are reported to OATS in milliseconds, should the timestamp reported to CAT be captured in nanoseconds?
11/10/2021
Event
Industry Testing Checkpoint Call (November 9, 2021)
11/05/2021
Governance
Notice of Filing of Exemptive Request Letter Related to Unique CCID for Each Foreign Customer
11/04/2021
FAQ| K. Options
K23. What CAT reportable events are required when at least one but not all legs of a multi-leg strategy are known at the time the instruction is given from one Industry Member to another Industry Member?
11/04/2021
FAQ| K. Options
K22. What reportable events are CAT Reporters required to report to the CAT when using an algorithmic strategy involving multiple component securities (for example, a Vega algorithm), where the trading instructions do not include the full materials terms of an order for each or any component security?
11/04/2021
Reference Material
Appendix E - Country Codes
11/03/2021
Technical Specifications
Industry Member Reporting Scenarios v4.7
11/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (November 3, 2021)
11/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - November 2, 2021
10/27/2021
Event
Industry Testing Checkpoint Call (October 26, 2021)
10/21/2021
FAQ| K. Options
K15. How must the priceType field be populated on multi-leg events?
10/21/2021
FAQ| B. Reporting Requirements
B45. Are electronic responses to a Request for Quote (RFQ) or other forms of solicitation responses reportable to CAT in Phase 2c (equities) and Phase 2d (options)?
10/21/2021
Event
Monthly CAT Implementation Update (October 21, 2021)

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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