Latest Updates | CATNMSPLAN

10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
10/05/2021
FAQ| M. Firm Designated ID
M14. If an Industry Member does not have an account number available to its order handling and/or execution system at the time of order receipt, what should be reported as the Firm Designated ID (FDID)?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| Q. Customer and Account Information
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?
09/21/2021
FAQ| B. Reporting Requirements
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?
09/21/2021
FAQ| F. Representative Orders
F2. When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
09/21/2021
Event
CAT Costs (September 21, 2021)
09/21/2021
FAQ| K. Options
K20. When must the pairedOrderID be reported to CAT?
09/21/2021
FAQ| D. Order Receipt
D23. How should the accountHolderType be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? Should the accountHolderType represent the status of the IA/money manager or the status of the IA/money manager’s client?
09/21/2021
FAQ| I. Foreign Securities
I1. Are orders in foreign securities reportable?
09/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.6
09/21/2021
Event
CAT CAIS Technical Specification Working Group Q&A - September 21, 2021
09/21/2021
FAQ| K. Options
K2. What Industry Member Data will be reportable to the CAT during Phase 2b of the revised implementation schedule?
09/21/2021
FAQ| B. Reporting Requirements
B3. Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?

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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
X. Reference Database
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
X. Reference Database
All Topics