Latest Updates | CATNMSPLAN

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
08/25/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r4
08/24/2021
FAQ| D. Order Receipt
D37. Are Industry Members that provide sponsored access/direct market access required to report the ‘DIR’ handlingInstructions value on the Order Accepted or New Order event?
08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
08/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - August 17, 2021
08/16/2021
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/10/2021
Event
Industry Testing Checkpoint Call (August 10, 2021)
08/05/2021
Reference Material
CAT NMS LLC 2019 and 2018 Financial Statements
08/05/2021
Reference Material
Consolidated Audit Trail LLC 2019 Financial Statement
08/05/2021
Reference Material
CAT NMS LLC 2018 and 2017 Audited Financial Statements
08/05/2021
Reference Material
Consolidated Audit Trail LLC 2020 Financial Statements

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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