Latest Updates | CATNMSPLAN

05/21/2020
Event
Intrafirm Linkage Overview (5/20/2020)
05/21/2020
FAQ| A. General
A21. Will the CAT be ready to accept Industry Member Data in November 2018? If not, when will Industry Members be required to begin reporting to the CAT?
05/21/2020
FAQ| A. General
A21. This FAQ has been retired and archived. Please refer to FAQs A5, A6 and A7.
05/21/2020
Event
CAT Technical Specification Working Group Q&A - 5/21/20
05/19/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.2
05/19/2020
Event
Weekly Industry Testing Checkpoint Call (5/19/2020)
05/19/2020
CAT Alert
CAT Alert 2020-01 - Industry Member Test Plan
05/19/2020
FAQ| B. Reporting Requirements
B28. Are event times required to be reported in Eastern Time?
05/19/2020
FAQ| Q. Customer and Account Information
Q9. What is an Unidentified Large Trader ID (ULTID) and are all Industry Members required to report ULTIDs to CAT CAIS?
05/19/2020
FAQ| Q. Customer and Account Information
Q11. What is the ltidEndDate?
05/19/2020
FAQ| B. Reporting Requirements
B9. Are all messages, as represented in order routing protocols such as FIX, required to be reported to CAT by Industry Members?
05/19/2020
FAQ| Q. Customer and Account Information
Q14. If an Industry Member erroneously ends an LTID to FDID association and needs to reestablish it, what should the ltidEffectiveDate be?
05/19/2020
FAQ| D. Order Receipt
D15. If the handlingInstructions reported with an order contains instructions that reflect the order is only eligible to be traded at the time it is received, such as "Fill or Kill", or implies the time the order is eligible, such as "Market on Open", is the tradingSession field still required to be populated?
05/19/2020
FAQ| Q. Customer and Account Information
Q17. Are Industry Members required to report LTIDs for dormant or inactive accounts? For example, an Industry Member has a customer that qualifies as a Large Trader but that customer has not had any account activity for several months.
05/18/2020
CAT Alert

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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
X. Reference Database
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
X. Reference Database
All Topics