Latest Updates | CATNMSPLAN

02/25/2020
FAQ| O. Technical Requirements
O14. Can a CAT Reporter share its CAT connectivity with other affiliated CAT Reporters or affiliated CAT Reporting Agents?
02/25/2020
Technical Specifications
Industry Member Technical Specifications (2c) v3.1
02/24/2020
Governance
CAT System Terms of Use
02/21/2020
Technical Specifications
02/21/2020
Basic page
Transaction Registration & Onboarding
02/20/2020
Event
Industry Webinar - FDID Refresher and Introduction to Allocation Reporting (2/19/2020)
02/19/2020
Event
Weekly Industry Testing Checkpoint Call (2/18/2020)
02/19/2020
Governance
Notice of Filing of Exemptive Request Letter related to the Implementation of a Phased Industry Member Reporting Timeline
02/14/2020
Basic page
Guidance
02/14/2020
Basic page
Communication
02/12/2020
Technical Specifications
Industry Member Reporting Scenarios v2.5
02/12/2020
Event
Weekly Industry Testing Checkpoint Call (2/11/2020)
02/12/2020
Governance
Notice of Filing of Exemptive Request Letter related to Data Facility Reporting and Linkage
02/11/2020
FAQ| E. Order Routing and Execution
E28. Exchange origin code is required to be reported on CAT Order Route events when routing orders to an options exchange. However, it is not required by all options exchange protocols for certain market maker orders. In these cases, with what should Industry Members populate the exchOriginCode field on the Options Order Route Event?
02/11/2020
FAQ| A. General
A30. If a firm meets the definition of a Small Industry Member at the time its audited financial statements are prepared, but its total capital subsequently exceeds $500,000 prior to the Small Industry Member deadline of December 2021, must it immediately start reporting to CAT as a Large Industry Member?

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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