Latest Updates | CATNMSPLAN

03/09/2021
FAQ| J. OTC Equity Securities
J2. What are the CAT reporting responsibilities with respect to OTC Link messages?
03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1- Clean
03/09/2021
FAQ| B. Reporting Requirements
B49. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or assignment to CAT?
03/09/2021
FAQ| J. OTC Equity Securities
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?
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)

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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