Latest Updates | CATNMSPLAN

09/16/2021
Reference Material
CAT Costs (September 21, 2021) - Presentation
09/16/2021
Reference Material
CAT Funding (September 22, 2021) - Presentation
09/15/2021
Event
Industry Testing Checkpoint Call (September 14, 2021)
09/14/2021
Event
Phase 2d Cutover (September 14, 2021)
09/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r4
09/09/2021
Event
Monthly CAT Implementation Update (September 9, 2021)
09/07/2021
Event
ARCAOP Pillar Testing in the Test Environment (September 7, 2021)
09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
08/31/2021
FAQ| U. Allocations
U8. Are allocations to a registered investment advisor (RIA)/money manager’s average price account required to be reported even if the shares are only held there temporarily before being allocated to individual customer accounts? For example, an RIA manages two customer accounts at a self-clearing firm. The RIA places a single order in its account that will be later allocated between the two customer accounts. The shares are booked to an average price account designated for the RIA at the self-clearing firm until the RIA provides subaccount allocation instructions and the allocations are made to the individual customer accounts.
08/31/2021
FAQ| U. Allocations
U14. When may the Amended Allocation/Option Amended Allocation (MEAA/MOAA) events be reported to CAT?
08/31/2021
FAQ| E. Order Routing and Execution
E2. Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
08/31/2021
FAQ| U. Allocations
U9. What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
08/31/2021
Event
CAT CAIS Technical Specification Working Group - August 31, 2021
08/31/2021
FAQ| U. Allocations
U10. Are Clearing Member Trade Assignments (“CMTAs”) required to be reported to CAT?
08/26/2021
Announcement
2021 Consolidated Audit Trail Advisory Committee List

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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