Latest Updates | CATNMSPLAN

07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1
07/27/2021
FAQ| J. OTC Equity Securities
J5. The Industry Member Technical Specifications state that “If the status of a quote that was sent by an Industry Member to an Industry Member inter-dealer quotation system is changed as a result of an automatic process, then a Quote Status event is only required to be reported by the inter-dealer quotation system.” How is an ‘Automatic Process’ defined for the purpose of reporting Quote Status events to CAT?
07/27/2021
Event
CAT CAIS Technical Specification Working Group Q&A - July 27, 2021
07/22/2021
Announcement
2021 Business Clock Synchronization Survey
07/22/2021
Event
Multi-Leg/Complex Option Order (July 21, 2021)
07/20/2021
Basic page
CAT CAIS LTID Phase Report Card- Known Issues List
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
07/16/2021
Technical Specifications
Industry Member Reporting Scenarios v4.5
07/14/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r2
07/14/2021
Event
Industry Testing Checkpoint Call (July 13, 2021)
07/13/2021
FAQ| Q. Customer and Account Information
Q49. Following the closure of an account and the associated FDID being ended in CAIS, is an Industry Member required to re-activate the FDID in CAIS for non-CAT reportable entries, such as delayed dividend payments?
07/13/2021
FAQ| K. Options
K17. What eventTimestamp must be used when reporting a manual Option Trade (MOOT) event?
07/13/2021
FAQ| K. Options
K18. Is an electronicTimestamp required when reporting a manual Trade Event (MEOT) or manual Option Trade Event (MOOT) to CAT?
07/13/2021
FAQ| B. Reporting Requirements
B66. When is the Order Effective event/Option Order Effective event (MEOE/MOOE) required to be reported to CAT?
07/13/2021
FAQ| D. Order Receipt
D29. How should Industry Members populate handling instructions for orders received or originated with instructions to work the order using a trading algorithm?

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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