Latest Updates | CATNMSPLAN

08/09/2022
FAQ| Q. Customer and Account Information
Q64. When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
08/09/2022
FAQ| U. Allocations
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
08/09/2022
FAQ| Q. Customer and Account Information
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
08/09/2022
FAQ| C. Definitions
C5. When should the value ‘O’ (Market Making) be used for accountHolderType?
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
08/04/2022
FAQ| F. Representative Orders
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?
08/04/2022
FAQ| F. Representative Orders
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?
08/04/2022
FAQ| F. Representative Orders
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?
08/03/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022)
08/02/2022
Event
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022)
08/02/2022
Reference Material
CAT LLC- Q3 2022 Financial and Operating Budget
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
07/29/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r15
07/29/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r16

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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
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
All Topics