Latest Updates | CATNMSPLAN

01/11/2021
Timeline Activity
Deadline to Request Production Readiness Certification for CAIS (account information related to LTIDs)
01/08/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r5 (Clean)
01/08/2021
FAQ| J. OTC Equity Securities
J3. What are the reporting obligations for OTC Link messages directed by an OTC Link ATS subscriber to a Global OTC quote displayed on the OTC Link ATS?
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.11
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v2.10
01/08/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r9
01/08/2021
Technical Specifications
Industry Member Reporting Scenarios v3.8
01/06/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (01/06/2021)
01/05/2021
Event
Weekly Industry Testing Checkpoint Call (1/5/2021)
01/04/2021
FAQ| U. Allocations
U23. What does the term “booking” mean in relation to the reporting of CAT allocation events?
12/29/2020
Event
Weekly Industry Testing Checkpoint Call (12/29/2020)
12/21/2020
Reference Material
Industry Member Onboarding Guide v1.17
12/21/2020
Reference Material
IM Reporter Portal User Guide v1.3
12/18/2020
FAQ| K. Options
K8. When an Industry Member receives a complex order including an equity leg and solicits interest in the execution of the order, are the equity leg component of the solicitation and the responses to the solicitation reportable in Phase 2a?
12/17/2020
Event
Monthly CAT Implementation Update (12/17/20)

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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
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
All Topics