Latest Updates | CATNMSPLAN

08/10/2021
Event
Industry Testing Checkpoint Call (August 10, 2021)
08/10/2021
FAQ| U. Allocations
U29. The TIDType on the allocation events must be populated with the Input Identifier used for the account holders associated with the FDID record in CAIS. If account holders and authorized traders are associated with an FDID record, which type of CAT Customer should be represented by the TIDType in allocation events?
08/10/2021
FAQ| U. Allocations
U30. FAQ U29 states that in Phase 2d, the TIDType on the allocation events may optionally be populated with the Input Identifier used for the account holders associated with the FDID record in CAIS. How should the TIDType field be populated if there are multiple account holders associated with an FDID record and the CAT Customer records were generated using different Input Identifiers?
08/05/2021
Reference Material
Consolidated Audit Trail LLC 2019 Financial Statement
08/05/2021
Reference Material
CAT NMS LLC 2018 and 2017 Audited Financial Statements
08/05/2021
Reference Material
Consolidated Audit Trail LLC 2020 Financial Statements
08/05/2021
Reference Material
CAT NMS LLC 2019 and 2018 Financial Statements
08/04/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
08/03/2021
Event
CAT Technical Specification Working Group Q&A - August 3, 2021
08/02/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r10
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1
07/28/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r3
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1 (Redlined)
07/27/2021
FAQ| J. OTC Equity Securities
J5. The Industry Member Technical Specifications state that “If the status of a quote that was sent by an Industry Member to an Industry Member inter-dealer quotation system is changed as a result of an automatic process, then a Quote Status event is only required to be reported by the inter-dealer quotation system.” How is an ‘Automatic Process’ defined for the purpose of reporting Quote Status events to CAT?
07/27/2021
FAQ| D. Order Receipt
D33. How should the tradingSession field be populated for option orders?

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