Latest Updates | CATNMSPLAN

01/27/2022
Reference Material
ATS NBBO Source Change Form
01/25/2022
FAQ| Q. Customer and Account Information
Q27. When will CAIS open for Production, and what happens after that date?
01/25/2022
Event
CAT CAIS Technical Specification Working Group - January 25, 2022
01/25/2022
FAQ| Q. Customer and Account Information
Q7. Is an Industry Member permitted to provide Sensitive Identifiers, dates of birth and account numbers as a part of the Customer Identifying Information and Customer Account Information?
01/25/2022
FAQ| K. Options
K24. When should Industry Members report the ‘FB’ handling instruction on an Order Route event?
01/24/2022
FAQ| D. Order Receipt
D33. How should the tradingSession field be populated for option orders?
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
01/14/2022
FAQ| Q. Customer and Account Information
Q56. What Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.
01/13/2022
FAQ| Q. Customer and Account Information
Q16. Can an Industry Member submit the same CAIS record every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
01/13/2022
FAQ| Q. Customer and Account Information
Q10. Is the ltidEffectiveDate the date when the LTID was assigned by the SEC or the date that the firm was provided the LTID?
01/13/2022
FAQ| Q. Customer and Account Information
Q26. What actions does a Reporting Agent need to take to certify the broker-dealers (CRDs) it will be reporting on behalf of?
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
01/12/2022
Reference Material
Industry Member CAIS Onboarding Guide v1.8
01/06/2022
Basic page
CAT Transaction- Known Issues List

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].