Latest Updates | CATNMSPLAN

02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
02/22/2022
FAQ| K. Options
K25. When must the ‘OPT’ handlingInstructions value be used in Phase 2d?
02/22/2022
FAQ| Q. Customer and Account Information
Q39. This FAQ has been retired. Please refer to the scenario titled “DVP/RVP Account with a Clearing Number” in the Industry Member CAIS Reporting Scenarios document.
02/18/2022
FAQ| M. Firm Designated ID
M16. FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS (July 11, 2022), what additional steps are required?
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
02/15/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r9
02/09/2022
Event
Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022)
02/08/2022
FAQ| Q. Customer and Account Information
Q57. If there is a CAT Customer with multiple valid Input Identifiers who is associated with a single account at a CAT Reporter firm, which Input Identifier must be used to generate a Transformed Identifier for the Customer?
02/08/2022
Reference Material
Small Firm Roadmap to July 11, 2022
02/04/2022
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.2.1
02/03/2022
Event
CAT Processing Update (February 2, 2022)
01/28/2022
Basic page
Industry Member Reporting Scenarios
01/28/2022
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.2
01/27/2022
FAQ| H. ATS
H4. A firm operates a display ATS that only publishes periodic snapshots of aggregate quotes based on a pre-determined frequency (e.g., every X milliseconds). The aggregate quote published only reflects open interest at the time of the snapshot. Consequently, there may be orders that have been received, executed, canceled, or repriced as the result of a change in NBBO (or other relevant reference price), but no aggregate quote will be published until the time of the next snapshot. Is the ATS required to generate and report order display modifications under these circumstances?
01/27/2022
Reference Material
Q4 2021 QPR

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