Latest Updates | CATNMSPLAN

03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.1
03/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r11
03/05/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
03/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r7
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.10
03/03/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (3/3/21)
03/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 3/2/21
02/25/2021
Event
Industry Member Report Card 101 Webinar (2/24/21)
02/23/2021
FAQ| E. Order Routing and Execution
E25. When should the cancelFlag field be set to true on the Trade event (“MEOT”)?
02/23/2021
Reference Material
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2 (Clean)
02/23/2021
FAQ| B. Reporting Requirements
B72. Is my response to a Request for Quotes (“RFQ”) or other solicitation process required to be reported as a New Order event (“MENO”) or New Option Order event (“MONO”) in Phase 2a or Phase 2b if my response is selected as the winning bid?
02/22/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0
02/19/2021
Basic page
Industry Member Compliance Glossary (Archived)
02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
02/17/2021
Event
CAIS Onboarding & LTID Submission for Small Firms (2/17/21)

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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