Latest Updates | CATNMSPLAN

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)
08/12/2020
Event
LTID Submission Webinar (8/12/2020)
08/11/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4
08/11/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r1
08/11/2020
Reference Material
Industry Member Reporting Scenarios v2.7
08/11/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r5
08/11/2020
Reference Material
Industry Member Reporting Scenarios v2.7 (Redlined)
08/11/2020
Event
Weekly Industry Testing Checkpoint Call (8/11/2020)
08/07/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1
08/04/2020
Event
Weekly Industry Testing Checkpoint Call (8/4/2020)
07/29/2020
Event
CAT Compliance Industry Webinar (7/29/2020)
07/29/2020
Event
Weekly Industry Testing Checkpoint Call (7/28/2020)
07/28/2020
FAQ| E. Order Routing and Execution
E30. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this apply if the trade is reversed in the FINRA Facility on a subsequent day?
07/27/2020
Technical Specifications
Customer and Account Status File Schema v1.0.0 (JSON)

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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