Latest Updates | CATNMSPLAN

02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
02/22/2022
FAQ| Q. Customer and Account Information
Q39. This FAQ has been retired. Please refer to the scenario titled “DVP/RVP Account with a Clearing Number” in the Industry Member CAIS Reporting Scenarios document.
02/22/2022
FAQ| K. Options
K25. When must the ‘OPT’ handlingInstructions value be used in Phase 2d?
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
02/15/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r9
02/09/2022
Event
Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022)
02/08/2022
FAQ| Q. Customer and Account Information
Q57. If there is a CAT Customer with multiple valid Input Identifiers who is associated with a single account at a CAT Reporter firm, which Input Identifier must be used to generate a Transformed Identifier for the Customer?
02/04/2022
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.2.1
02/03/2022
Event
CAT Processing Update (February 2, 2022)
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| 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
01/25/2022
FAQ| K. Options
K24. When should Industry Members report the ‘FB’ handling instruction on an Order Route event?
01/24/2022
FAQ| D. Order Receipt
D33. How should the tradingSession field be populated for option orders?

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