Latest Updates | CATNMSPLAN

08/27/2020
FAQ| Q. Customer and Account Information
Q21. What are the deadlines for reporting in the CAIS LTID phase after the first Reportable Event in the account with an associated LITD or ULTID occurs?
08/27/2020
FAQ| E. Order Routing and Execution
E2. Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
08/27/2020
FAQ| U. Allocations
U14. When must an Amended Allocation event (MEAA) be reported?
08/27/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Allocations
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
08/26/2020
Technical Specifications
Technical Specifications for IDQS v1.0 r2
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1 (Redlined)
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/24/2020
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.8
08/21/2020
Reference Material
CAT CAIS Reporter User Guide v1.0
08/20/2020
Event
Industry Member Compliance Report Card
08/19/2020
Event
Interfirm Linkage Overview (8/19/2020)
08/18/2020
Event
Weekly Industry Testing Checkpoint Call (8/18/2020)

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].