Latest Updates | CATNMSPLAN

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?
06/18/2019
FAQ| D. Order Receipt
D21. What accountHolderType value should be used if the beneficial owner of an account for which an order is received is an employee but the account also meets the definition of an institutional account?
06/18/2019
FAQ| E. Order Routing and Execution
E14. Firm A routes an order to Firm B with instructions to send the order to another member or exchange for execution with specific terms and conditions that the executing venue must follow. Must Firm B report the terms and conditions intended for the executing venue as handling instructions on Firm B’s CAT Order Accepted Event in the handlingInstructions field?
06/18/2019
FAQ| D. Order Receipt
D7. Should accountHolderType Code "E" be used for orders received from former or retired employees or employees of other broker-dealers?
06/18/2019
FAQ| D. Order Receipt
D5. BD A, an Industry Member CAT Reporter receives 10 separate and distinct customer orders that together total 10,000 shares. A registered representative of BD A sends a single 10,000 share order to the trading desk. What are the CAT reporting obligations for BD A?
06/18/2019
FAQ| O. Technical Requirements
O9. Where can information on obtaining access to the private network for reporting to CAT be found?
06/18/2019
FAQ| B. Reporting Requirements
B27. What are the hours for reporting to CAT?
06/18/2019
FAQ| O. Technical Requirements
O4. If a clearing firm enters into agreements with each of its correspondents to transmit data to CAT on behalf of the correspondents, is a separate Reporter ID required for each correspondent?

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].