Latest Updates | CATNMSPLAN

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)?
10/26/2020
FAQ| Q. Customer and Account Information
Q4. Are Industry Members required to report a Legal Entity Identifier (LEI) for their Customers to the CAT?
10/23/2020
Basic page
Plan Participant Contact List
10/22/2020
Event
Outbound Router Industry Webinar (10/21/20)
10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
10/20/2020
Event
Weekly Industry Testing Checkpoint Call (10/20/2020)
10/16/2020
Basic page
Industry Member Compliance Glossary
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
U2. What is an Allocation Report and who is required to report it?
10/06/2020
FAQ| F. Representative Orders
F3. How does a CAT Reporter determine the manner in which an agency order filled on an average price basis should be reported? More specifically, when should an Order Fulfillment (as reflected in Scenario 2.3.4 Fill of a Single Customer Order on an Average Price Basis in the CAT Industry Member Reporting Scenarios document) be used instead of Route Reports?
10/06/2020
Event
Weekly Industry Testing Checkpoint Call (10/6/2020)

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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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics