Latest Updates | CATNMSPLAN

08/29/2019
Governance
Amended CAT NMS Plan for Consolidated Audit Trail, LLC (8/29/2019)
08/29/2019
FAQ| A. General
A2. How is the Consolidated Audit Trail, LLC managed?
08/28/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.0 Enhanced
08/16/2019
Event
CAT Technical Specification Working Group Q&A - 8/15/2019
08/14/2019
Event
Industry Webinar - Equity Representative Orders Deep Dive (August 13, 2019)
08/13/2019
FAQ| M. Firm Designated ID
M13. Does a Firm Designated ID apply to a trading account or to a Customer? Certain provisions in the CAT NMS Plan refer to Firm Designated IDs for Customers.
08/13/2019
FAQ| E. Order Routing and Execution
E26. Does Section 6.3(d)(ii) of the CAT NMS Plan, which sets forth the reporting requirements with regard to the “routing of an order,” apply to both internal and external routes?
08/13/2019
FAQ| E. Order Routing and Execution
E27. How should the affiliateFlag be populated when routing an order between IMIDs belonging to the same broker-dealer?
08/13/2019
Event
Industry Webinar - An Overview of the CAT Onboarding Guide (August 12, 2019)
08/01/2019
Event
CAT Technical Specification Working Group Q&A - 8/1/2019
07/31/2019
FAQ| N. Third Party Reporting
N5. Are Industry Members that report to CAT using a third-party vendor that submits reportable data to the CAT using a private line connection required to transmit their CAT reportable data to the third party vendor via a private line connection?
07/31/2019
FAQ| B. Reporting Requirements
B41. How should an Industry Member report to the CAT orders filled by the Industry Member from its inventory, rather than through the generation of a proprietary order to execute against the order?
07/31/2019
FAQ| B. Reporting Requirements
B40. CAT FAQs B3 and B38 state that IOIs, RFQs and other forms of non-firm expressions of trading interest are not reportable to CAT. What factors should a firm consider when determining whether trading interest, regardless of the label attached to it, is reportable to CAT?
07/31/2019
Technical Specifications
Industry Member Reporting Scenarios v2.2
07/18/2019
Event
In-person Consolidated Audit Trail Options Deep Dive July 16, 2019 in Philadelphia

« First
‹ Previous
…
73
74
75
76
77
78
79
80
81
…
Next ›
Last »

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