Latest Updates | CATNMSPLAN

07/17/2019
FAQ| C. Definitions
C7. Are orders received or routed via instant message (IM) or email considered “manual” or “electronic” for purposes of reporting to the CAT?
06/25/2019
Technical Specifications
Industry Member Schema v2.2 (2a/2b)
06/24/2019
FAQ| O. Technical Requirements
O2. What access methods are available to Industry Members to report to CAT?
06/24/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2
06/24/2019
Technical Specifications
Industry Member Reporting Scenarios v2.1
06/18/2019
FAQ| B. Reporting Requirements
B11. What types of products will be in scope for purposes of Industry Members reporting details of Orders and Reportable Events to the CAT?
06/18/2019
FAQ| R. Clock Synchronization
R5. What clock synchronization procedures are required to comply with the CAT NMS Plan?
06/18/2019
FAQ| O. Technical Requirements
O5. Can order events for more than one CAT Reporter be submitted to CAT in a single file?
06/18/2019
FAQ| A. General
A22. Can Small Industry Members that are not OATS Reporting Members (“Small Industry Non-OATs Reporters”) voluntarily report to the CAT prior to December 2021?
06/18/2019
FAQ| D. Order Receipt
D6. Should accounts belonging to family members of an employee of an Industry Member CAT Reporter be reported with the accountHolderType Code "E"?
06/18/2019
FAQ| E. Order Routing and Execution
E24. Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?
06/18/2019
FAQ| O. Technical Requirements
O11. Who do I contact if I need to change the configuration of my connection to the private network?
06/18/2019
FAQ| D. Order Receipt
D25. How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
06/18/2019
FAQ| B. Reporting Requirements
B38. Does the requirement that broker-dealers report on actionable indications of interest pursuant to Rule 606, under the Securities Exchange Act of 1934, change what is reportable to CAT?
06/18/2019
FAQ| P. Feedback and Error Correction
P4. When will rejections be available?

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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
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