Latest Updates | CATNMSPLAN

11/18/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r3
11/17/2020
FAQ| B. Reporting Requirements
B57. How should the orderType and handlingInstructions fields be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders?
11/17/2020
Event
Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)
11/17/2020
FAQ| B. Reporting Requirements
B67. FAQ B57 provides guidance on how the handlingInstructions field should be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders. In instances where it is known that the order is a Stop order, but the exact stop price is unknown because it is either based on an underlying condition or will be determined by the destination venue, then how should the Stop be reported in the handlingInstructions?
11/17/2020
Event
Weekly Industry Testing Checkpoint Call (11/17/2020)
11/17/2020
FAQ| B. Reporting Requirements
B12. Are Industry Members required to report the equity leg of a complex order in Phase 2a of the revised implementation schedule?
11/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r2
11/10/2020
Event
Weekly Industry Testing Checkpoint Call (11/10/2020)
11/06/2020
Technical Specifications
Industry Member Reporting Scenarios v2.9
11/06/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r8
11/06/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r7
11/06/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r3
11/06/2020
Technical Specifications
Industry Member Reporting Scenarios v3.6
11/04/2020
Event
Weekly Industry Testing Checkpoint Call (11/03/2020)
11/04/2020
FAQ| D. Order Receipt
D24. What value should be populated in the deptType field for orders in which a broker-dealer is providing direct market access to customers that are not broker-dealers?

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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