Latest Updates | CATNMSPLAN

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?
09/16/2021
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?

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