Latest Updates | CATNMSPLAN

08/27/2020
FAQ| Q. Customer and Account Information
Q23. Do introducing and non-self-clearing executing brokers have CAIS LTID reporting obligations?
08/27/2020
FAQ| I. Foreign Securities
I6. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the customer directs that the order only be executed in a foreign market, is this type of directed order required to be reported if the order is not executed by the end of the CAT Trading day?
08/27/2020
FAQ| I. Foreign Securities
I3. If an order in a foreign security that is an OTC Equity Security is broken up and executed across multiple markets, i.e., part of the order is executed in the US and part of the order is executed and reported in the foreign market, what are the CAT reporting obligations?
08/27/2020
FAQ| Q. Customer and Account Information
Q30. Where can I find more information on the SEC Large Trader Requirements?
08/26/2020
Technical Specifications
Technical Specifications for IDQS v1.0 r2
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1
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)
08/17/2020
Basic page
CAIS Registration & Onboarding
08/12/2020
FAQ| N. Third Party Reporting
N7. If a firm uses a third party CAT Reporting Agent to submit data on its behalf, can the firm satisfy its CAT recordkeeping obligations by having the third party retain the data and provide it upon request?
08/12/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4 (Redlined)

« First
‹ Previous
…
58
59
60
61
62
63
64
65
66
…
Next ›
Last »

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