Latest Updates | CATNMSPLAN

05/18/2021
FAQ| C. Definitions
C8. The IM Technical Specifications state that “Industry Members are required to report responses to RFQs and other forms of solicitation that are firm expressions of interest to trade”. How are “other forms of solicitation” defined for CAT reporting purposes?
05/18/2021
FAQ| A. General
A26. Does an Industry Member have to report to the CAT orders received or originated, but not executed prior to the date an Industry Member is required to begin reporting data to the CAT?
05/18/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement (May 18, 2021)
05/18/2021
FAQ| M. Firm Designated ID
M17. Is an Industry Member permitted to submit a different firmDesignatedID to CAIS than was populated as the firmDesignatedID on the related Transaction Order event for a specific trading account, Relationship ID or Entity ID within the firm?
05/12/2021
Reference Material
Industry Member Schema v3.1.0 r13 (2c)
05/11/2021
Event
Industry Testing Checkpoint Call (May 11, 2021)
05/11/2021
Event
CAT Technical Specification Working Group Q&A - May 11, 2021
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13 (Redlined)
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13
05/07/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r2
05/06/2021
FAQ| K. Options
K6. When an Industry Member receives a simple electronic order in Listed Options and solicits interest in the execution of the order, are the solicitation and the responses to the solicitation reportable in Phase 2b?
05/06/2021
FAQ| K. Options
K12. The concept of selling long or short is not applicable to options. How should the side field be populated on options events for a sell order?
05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
05/05/2021
Reference Material
Plan Amendment Related to Revised Funding Model- Additional Details 5/5/21
05/04/2021
FAQ| U. Allocations
U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?

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