Latest Updates | CATNMSPLAN

08/17/2020
Reference Material
IM Reporter Portal User Guide v1.2
08/14/2020
FAQ| B. Reporting Requirements
B45. Are electronic responses to a Request for Quote (RFQ) or other forms of solicitation responses reportable to CAT in Phase 2c (equities) and Phase 2d (options)?
08/12/2020
Event
Interfirm Linkage Overview (8/12/2020)
08/12/2020
FAQ| N. Third Party Reporting
N7. If a firm uses a third party CAT Reporting Agent to submit data on its behalf, can the firm satisfy its CAT recordkeeping obligations by having the third party retain the data and provide it upon request?
08/12/2020
FAQ| Q. Customer and Account Information
Q18. When are account movements between broker-dealers (e.g., merger/acquisition) required to be linked in CAIS?
08/12/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4 (Redlined)
08/12/2020
Event
LTID Submission Webinar (8/12/2020)
08/12/2020
FAQ| Q. Customer and Account Information
Q19. When will full account refreshes be required?
08/12/2020
FAQ| B. Reporting Requirements
B64. If executions against an order are tracked throughout the day but a single average price fill is provided to the client after the order is completed or at the end of the day, are fulfillments required throughout the day with a fulfillment amendment requirement with each new execution?
08/11/2020
Reference Material
Industry Member Reporting Scenarios v2.7
08/11/2020
Event
Weekly Industry Testing Checkpoint Call (8/11/2020)
08/11/2020
Reference Material
Industry Member Reporting Scenarios v2.7 (Redlined)
08/11/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r1
08/11/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4
08/11/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r5

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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