Latest Updates | CATNMSPLAN

11/04/2020
FAQ| D. Order Receipt
D24. What value should be populated in the deptType field for orders in which a broker-dealer is providing direct market access to customers that are not broker-dealers?
11/04/2020
Event
Weekly Industry Testing Checkpoint Call (11/03/2020)
10/29/2020
FAQ| Q. Customer and Account Information
Q13. How should an Industry Member populate the ltidEffectiveDate if it did not record the date on which the LTID or ULTID became associated to the FDID within its systems?
10/28/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)
10/27/2020
Event
Weekly Industry Testing Checkpoint Call (10/27/2020)
10/26/2020
FAQ| Q. Customer and Account Information
Q38. Why is there a question on the CAT CAIS Registration Form asking for a Legal Entity Identifier (LEI)?
10/26/2020
FAQ| Q. Customer and Account Information
Q4. Are Industry Members required to report a Legal Entity Identifier (LEI) for their Customers to the CAT?
10/26/2020
FAQ| D. Order Receipt
D34. FAQ D30 states that material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, are required to be reported to CAT. How must such instructions, including standing instructions, firm-wide defaults, or port- or connection-level defaults, be reported?
10/26/2020
FAQ| D. Order Receipt
D30. Are the material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, required to be reported to CAT?
10/26/2020
FAQ| A. General
A34. Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?
10/23/2020
Basic page
Plan Participant Contact List
10/22/2020
Event
Outbound Router Industry Webinar (10/21/20)
10/20/2020
Event
Weekly Industry Testing Checkpoint Call (10/20/2020)
10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
10/19/2020
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA 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
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