Latest Updates | CATNMSPLAN

10/06/2020
FAQ| E. Order Routing and Execution
E31. If an Industry Member routes an order to another Industry Member or exchange and it is rejected because a data element was malformed and the message was unable to be read or parsed, is the Industry Member required to report the related order events to CAT given that they might reject (for example, for a malformed symbol or optionID that is not on the CAT Reportable Equity/Options Securities Symbol Master list)?
09/30/2020
Technical Specifications
09/30/2020
Event
Weekly Industry Testing Checkpoint Call (9/29/2020)
09/30/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/30/2020)
09/29/2020
Event
TRF Linkage Industry Webinar (9/29/20)
09/25/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2
09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)
09/23/2020
FAQ| B. Reporting Requirements
B7. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?
09/22/2020
FAQ| Q. Customer and Account Information
Q32. Can production data be used in the CAT CAIS Test environment?
09/22/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.2
09/22/2020
FAQ| Q. Customer and Account Information
Q37. How do the CAT reporting requirements for Large Trader IDs (LTIDs) and Legal Entity Identifiers (LEIs) differ?
09/22/2020
FAQ| B. Reporting Requirements
B7. This FAQ has been retired and archived. Please refer to FAQ I9.
09/22/2020
FAQ| Q. Customer and Account Information
Q33. May an Industry Member leverage a previously established Reporting Relationship for CAIS? For example, if an Industry Member has already authorized a submitter to report transaction data to CAT, must that Industry Member also authorize the same submitter to report data to CAIS?
09/22/2020
FAQ| Q. Customer and Account Information
Q34. Where can I find a list of the LTIDs?
09/22/2020
FAQ| U. Allocations
U20. When converting the price of a non-US dollar currency for the purpose of reporting a CAT Allocation event, is it acceptable to use the end of day conversion rate?

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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