Latest Updates | CATNMSPLAN

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?
07/13/2021
FAQ| K. Options
K16. How must Industry Members capture the firmDesignatedID (“FDID” or “Firm Designated ID”) on Multi-Leg events in scenarios where the equity leg and option leg are originated in and/or settled to different accounts of the same customer?
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?
07/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (July 7, 2021)
06/29/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.0
06/29/2021
Event
CAT CAIS Technical Specification Working Group Q&A - June 29, 2021
06/25/2021
FAQ| U. Allocations
U1. The newOrderFDID field in the Post-Trade Allocation/Option Post-Trade Allocation Event (MEPA/MOPA) and Amended Allocation/Option Amended Allocation Event (MEAA/MOAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?
06/24/2021
Event
Phase 2d Industry Webinar (June 24, 2021)
06/23/2021
FAQ| U. Allocations
U17. Are changes to CAT reportable attributes of an allocation after the original booking of shares/contracts that occur post-settlement required to be reported to CAT as an Amended Allocation/Option Amended Allocation (MEAA/MOAA) event?
06/22/2021
Event
CAT Technical Specification Working Group ( June 22, 2021)
06/21/2021
FAQ| U. Allocations
U18. Are Industry Members required to report Amended Allocation/Option Amended Allocation events (MEAA/MOAA) for allocations which occurred before the date an Industry Member is required to report allocation events to CAT?
06/21/2021
FAQ| U. Allocations
U21. Is the side value ‘SX’ (Short Sale Exempt) required to be reported on a Post-Trade Allocation (MEPA) event?

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