Latest Updates | CATNMSPLAN

10/05/2021
FAQ| M. Firm Designated ID
M6. If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?
10/05/2021
FAQ| M. Firm Designated ID
M16. FAQ M1 identifies certain limited circumstances where a change/replacement in Firm Designated ID (FDID) value associated with a particular trading account or Relationship ID would be permissible. If an Industry Member changes an FDID due to one of these limited circumstances prior to Full CAIS (July 11, 2022), what additional steps are required?
10/05/2021
FAQ| M. Firm Designated ID
M3. Can a Firm Designated ID (FDID) change each Trading Day?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| U. Allocations
U22. What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1
09/21/2021
FAQ| B. Reporting Requirements
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?
09/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.6
09/21/2021
FAQ| B. Reporting Requirements
B53. Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?
09/21/2021
FAQ| A. General
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?
09/21/2021
Event
CAT Costs (September 21, 2021)
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1 (Redlined)
09/21/2021
FAQ| Q. Customer and Account Information
Q53. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in CAIS?
09/21/2021
FAQ| I. Foreign Securities
I9. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?

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