Latest Updates | CATNMSPLAN

01/12/2021
FAQ| B. Reporting Requirements
B21. How should Exchange for Physicals ("EFP") transactions be reported to CAT?
01/12/2021
FAQ| E. Order Routing and Execution
E29. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. How should Industry Members report trade cancellations and corrections to CAT?
01/11/2021
Timeline Activity
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.11
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v3.8
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.10
01/08/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r9
01/08/2021
FAQ| J. OTC Equity Securities
J3. What are the reporting obligations for OTC Link messages directed by an OTC Link ATS subscriber to a Global OTC quote displayed on the OTC Link ATS?
01/08/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r5
01/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2021)
01/05/2021
Event
Weekly Industry Testing Checkpoint Call (1/5/2021)
01/04/2021
FAQ| U. Allocations
U23. What does the term “booking” mean in relation to the reporting of CAT allocation events?
12/29/2020
Event
Weekly Industry Testing Checkpoint Call (12/29/2020)
12/18/2020
Basic page
CAT Transaction Industry Member Report Card- Known Issues List
12/18/2020
FAQ| K. Options
K8. When an Industry Member receives a complex order including an equity leg and solicits interest in the execution of the order, are the equity leg component of the solicitation and the responses to the solicitation reportable in Phase 2a?

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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