Latest Updates | CATNMSPLAN

10/26/2020
FAQ| D. Order Receipt
D30. Are the material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, required to be reported to CAT?
10/26/2020
FAQ| A. General
A34. Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?
10/26/2020
FAQ| Q. Customer and Account Information
Q38. Why is there a question on the CAT CAIS Registration Form asking for a Legal Entity Identifier (LEI)?
10/22/2020
Event
Outbound Router Industry Webinar (10/21/20)
10/21/2020
FAQ| D. Order Receipt
D29. How should Industry Members populate handling instructions for orders received or originated with instructions to work the order using a trading algorithm?
10/20/2020
Event
Weekly Industry Testing Checkpoint Call (10/20/2020)
10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
10/19/2020
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT
10/19/2020
Reference Material
Self Reporting Clock Synchronizations Deviation Form
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
FAQ| B. Reporting Requirements
B65. This FAQ was moved. See FAQ E31.
10/13/2020
Event
Weekly Industry Testing Checkpoint Call (10/13/2020)
10/07/2020
FAQ| U. Allocations
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “client” accounts for purposes of reporting Allocation Reports to CAT? For example, shares are booked into the average price account of an Introducing Broker (IB) dealer before the IB provides allocation instructions to the final customer accounts. Is the booking of shares into the IB owned or controlled average price account required to be reported as an Allocation by the clearing firm to CAT?
10/07/2020
FAQ| B. Reporting Requirements
B49. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or assignment to CAT?

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