Latest Updates | CATNMSPLAN

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?
04/27/2020
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?
04/23/2020
Event
CAT Technical Specification Working Group Q&A - 4/23/20
04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v2.2.1 r4
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
04/21/2020
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1 (Redlined)
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2
04/21/2020
CAT Alert
04/21/2020
Event
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)
04/21/2020
Technical Specifications
Participant Technical Specifications v3.1.0
04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2 (Redlined)
04/21/2020
Governance
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)

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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