Latest Updates | CATNMSPLAN

07/01/2020
FAQ| E. Order Routing and Execution
E3. BD A, an Industry Member CAT Reporter, receives a customer order for 10,000 shares and subsequently routes 2,000 shares of the order to Exchange A, another CAT Reporter. BD A’s trader or trading system subsequently modifies the price of the 2,000 share order routed to Exchange A. Is BD A required to report the modification of the 2,000 share order routed to Exchange A?
07/01/2020
FAQ| D. Order Receipt
D28. How should orderType be populated for orders that are received or originated without a specific limit price, but that do not have special handling instructions that include pricing criteria and are not market orders? For example, an order is originated to represent multiple customer orders, but does not have a set limit price.
07/01/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Certain Verbal Activity on and off Exchange Trading Floors
07/01/2020
FAQ| E. Order Routing and Execution
E8. This FAQ has been retired and archived. Please refer to FAQ B57.
07/01/2020
FAQ| B. Reporting Requirements
B61. What are the CAT reporting requirements for Stop Stock orders?
07/01/2020
Event
Separation of Production and Test User Accounts
07/01/2020
FAQ| B. Reporting Requirements
B58. How should the orderType field be populated for orders that are not market orders, but are not received/originated or routed with a specific limit price?
07/01/2020
FAQ| E. Order Routing and Execution
E8. How should the orderType on the Order Route Event be populated for orders routed as Stop or Stop Limit orders?
07/01/2020
FAQ| E. Order Routing and Execution
E9. This FAQ has been retired and archived. Please refer to FAQ B58.
07/01/2020
FAQ| D. Order Receipt
D28. This FAQ has been retired and archived. Please refer to FAQ B58.
07/01/2020
Event
Weekly Industry Testing Checkpoint Call (6/30/2020)
06/30/2020
Technical Specifications
Industry Member Reporting Scenarios v2.6
06/30/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1.1 (Clean)
06/30/2020
Event
CAT Technical Specification Working Group Q&A - 6/30/20
06/30/2020
Reference Material
Industry Member Reporting Scenarios (2c) v3.3

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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