Latest Updates | CATNMSPLAN

01/29/2025
FAQ| S. Security
S1. This FAQ has been retired and archived. Please refer to FAQ S3.
01/29/2025
FAQ| S. Security
S12. Is Industry Testing performed in a Production Environment?
01/29/2025
FAQ| S. Security
S3. What oversight mechanisms are in place so that the Plan Processor and the CAT System secure CAT data?
01/29/2025
FAQ| S. Security
S9. How can CAT Data be used?
01/29/2025
FAQ| S. Security
S7. This FAQ has been retired and archived. Please refer to FAQ S5.
01/28/2025
Reference Material
CAT Fee Alert 2025-1
01/22/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r5
01/22/2025
Technical Specifications
Industry Member Reporting Scenarios v4.13
01/21/2025
FAQ| F. Representative Orders
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?
01/21/2025
FAQ| F. Representative Orders
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?
01/21/2025
FAQ| F. Representative Orders
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?
01/16/2025
Event
Monthly CAT Update (January 16, 2025)
01/07/2025
Reference Material
Annual Clock Synchronization Certification Form (2025)
01/02/2025
Reference Material
SEC Approved CAT NMS Plan as of 12/12/2024
01/02/2025
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r23

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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