Latest Updates | CATNMSPLAN

10/05/2021
FAQ| M. Firm Designated ID
M1. What is a Firm Designated ID (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M14. If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M10. CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
10/05/2021
FAQ| M. Firm Designated ID
M2. Can actual account numbers be used as the FDID when submitting data to CAT?
10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
10/05/2021
FAQ| M. Firm Designated ID
M12. Where can I find additional information regarding the Firm Designated Identifier (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M6. If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?
10/05/2021
FAQ| M. Firm Designated ID
M3. Can a Firm Designated ID (FDID) change each Trading Day?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| B. Reporting Requirements
B3. Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?
09/21/2021
FAQ| Q. Customer and Account Information
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?
09/21/2021
FAQ| Q. Customer and Account Information
Q52. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?
09/21/2021
Event
CAT CAIS Technical Specification Working Group Q&A - September 21, 2021
09/21/2021
FAQ| I. Foreign Securities
I9. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?

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