Latest Updates | CATNMSPLAN

05/08/2026
Technical Specifications
CAT Billing Scenarios v1.1.4 (Redlined)
05/08/2026
FAQ| V. CAT Billing
V29. How do Prospective CAT Fees operate to provide continuous funding for the CAT?
05/08/2026
Reference Material
Billing Trade Details Schema - Off-Exchange
05/08/2026
FAQ| V. CAT Billing
V1. How is the cost of the CAT being funded?
05/08/2026
FAQ| U. Allocations
U7. Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO)/ Multi-Leg New Order (MLNO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
05/08/2026
Basic page
Reference Database Known Issues List
05/08/2026
Reference Material
Reference Data File Schema
05/08/2026
FAQ| V. CAT Billing
V28. Do Prospective CAT Fees sunset automatically?
05/08/2026
CAT Alert
CAT Alert 2023-02 - CAT Billing
05/08/2026
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.3
05/07/2026
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
05/05/2026
FAQ| X. Reference Database
X1. Can an Industry Member submit the same record to the Reference Database every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
05/05/2026
FAQ| X. Reference Database
X14. How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?
05/05/2026
FAQ| X. Reference Database
X6. Following the closure of an account and the associated FDID being ended in the Reference Database, is an Industry Member required to re-activate the FDID in the Reference Database for non-CAT reportable entries, such as delayed dividend payments?
05/05/2026
FAQ| X. Reference Database
X5. When reporting a piggyback clearing scenario to the Reference Database, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?

« First
‹ Previous
1
2
3
4
5
6
7
8
9
…
Next ›
Last »

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
X. Reference Database
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
X. Reference Database
All Topics