Latest Updates | CATNMSPLAN

08/27/2020
FAQ| I. Foreign Securities
I6. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the customer directs that the order only be executed in a foreign market, is this type of directed order required to be reported if the order is not executed by the end of the CAT Trading day?
08/27/2020
FAQ| Q. Customer and Account Information
Q30. Where can I find more information on the SEC Large Trader Requirements?
08/27/2020
FAQ| I. Foreign Securities
I3. If an order in a foreign security that is an OTC Equity Security is broken up and executed across multiple markets, i.e., part of the order is executed in the US and part of the order is executed and reported in the foreign market, what are the CAT reporting obligations?
08/27/2020
FAQ| E. Order Routing and Execution
E5. This FAQ has been retired and archived. Please refer to FAQ E2.
08/27/2020
FAQ| Q. Customer and Account Information
Q24. Do Reporting Agents need to certify separately from the BDs they are supporting?
08/27/2020
FAQ| I. Foreign Securities
I7. If an order is received under the US symbol of a foreign security that is an OTC equity security and the firm decides to send the order to a foreign market to be executed and reported, but the order ultimately gets executed in the US, does the firm have a CAT reporting obligation?
08/27/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Allocations
08/27/2020
FAQ| Q. Customer and Account Information
Q25. If my firm is a broker-dealer (CRD) that uses a Reporting Agent to report into CAT CAIS, does my firm need to certify separately if we have CAIS-reportable activity?
08/27/2020
FAQ| Q. Customer and Account Information
Q22. If an account does not have an account holder or authorized trader with an LTID or ULTID, but has other individuals or entities with an LTID or ULTID that may have some other relationship to the account, must that account be reported in the LTID Phase of CAIS?
08/27/2020
FAQ| U. Allocations
U15. Are Allocation Reports required to be reported for both purchases and sales?
08/27/2020
FAQ| E. Order Routing and Execution
E5. How should orders routed to another market participant but not accepted by that market participant be reported to CAT?
08/27/2020
FAQ| Q. Customer and Account Information
Q29. Do proprietary trading firms that do not handle customer orders have an obligation to report to CAT CAIS?
08/27/2020
FAQ| U. Allocations
U13. Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
08/27/2020
FAQ| Q. Customer and Account Information
Q23. Do introducing and non-self-clearing executing brokers have CAIS LTID reporting obligations?
08/26/2020
Technical Specifications
Technical Specifications for IDQS v1.0 r2

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