Latest Updates | CATNMSPLAN

05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement
05/07/2020
Event
CAT Technical Specification Working Group Q&A - 5/7/20
05/05/2020
FAQ| B. Reporting Requirements
B52. Are American Depository Receipt (ADR) creations and cancellations required to be reported to CAT?
05/05/2020
Event
Weekly Industry Testing Checkpoint Call (5/5/2020)
05/05/2020
FAQ| B. Reporting Requirements
B39. Are transfers of positions between accounts within the same legal entity reportable to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B50. Is the conversion of a convertible bond to an equity required to be reported to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B51. Are ETF creations and redemptions required to be reported to CAT?
04/30/2020
Announcement
Audited Financial Statements
04/28/2020
Event
Weekly Industry Testing Checkpoint Call (4/28/2020)
04/27/2020
FAQ| A. General
A31. If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?
04/27/2020
Reference Material
Notice of Filing of Exemptive Request Letter related to Allocation Reports
04/27/2020
FAQ| A. General
A6. When will Large Industry Members begin reporting data to the CAT?
04/27/2020
FAQ| A. General
A7. When will Small Industry Members begin reporting data to the CAT?
04/23/2020
Event
CAT Technical Specification Working Group Q&A - 4/23/20
04/21/2020
Technical Specifications
Participant Technical Specifications v3.1.0

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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