Latest Updates | CATNMSPLAN

10/16/2020
Basic page
Industry Member Compliance Glossary
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
10/14/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)
10/13/2020
Event
Weekly Industry Testing Checkpoint Call (10/13/2020)
10/13/2020
FAQ| B. Reporting Requirements
B65. This FAQ was moved. See FAQ E31.
10/07/2020
FAQ| U. Allocations
U2. What is an Allocation Report and who is required to report it?
10/06/2020
FAQ| E. Order Routing and Execution
E31. If an Industry Member routes an order to another Industry Member or exchange and it is rejected because a data element was malformed and the message was unable to be read or parsed, is the Industry Member required to report the related order events to CAT given that they might reject (for example, for a malformed symbol or optionID that is not on the CAT Reportable Equity/Options Securities Symbol Master list)?
10/06/2020
FAQ| F. Representative Orders
F3. How does a CAT Reporter determine the manner in which an agency order filled on an average price basis should be reported? More specifically, when should an Order Fulfillment (as reflected in Scenario 2.3.4 Fill of a Single Customer Order on an Average Price Basis in the CAT Industry Member Reporting Scenarios document) be used instead of Route Reports?
10/06/2020
Event
Weekly Industry Testing Checkpoint Call (10/6/2020)
09/30/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)
09/30/2020
Technical Specifications
09/30/2020
Event
Weekly Industry Testing Checkpoint Call (9/29/2020)
09/29/2020
Event
TRF Linkage Industry Webinar (9/29/20)
09/25/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2
09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)

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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