Latest Updates | CATNMSPLAN

09/21/2021
FAQ| I. Foreign Securities
I1. Are orders in foreign securities reportable?
09/21/2021
Event
CAT Costs (September 21, 2021)
09/21/2021
FAQ| F. Representative Orders
F2. When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
09/21/2021
FAQ| E. Order Routing and Execution
E1. When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
09/21/2021
FAQ| D. Order Receipt
D23. How should the accountHolderType be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? Should the accountHolderType represent the status of the IA/money manager or the status of the IA/money manager’s client?
09/21/2021
FAQ| B. Reporting Requirements
B53. Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?
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?
09/21/2021
FAQ| U. Allocations
U22. What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?
09/21/2021
FAQ| K. Options
K20. When must the pairedOrderID be reported to CAT?
09/21/2021
FAQ| K. Options
K19. Which handlingInstructions value should Industry Members populate on option events when the limit price is based on option Greeks or another formula based on market conditions?
09/21/2021
FAQ| A. General
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?

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