Latest Updates | CATNMSPLAN

09/21/2021
FAQ| I. Foreign Securities
I1. Are orders in foreign securities reportable?
09/21/2021
FAQ| K. Options
K19. Which handlingInstructions value should Industry Members populate on option events when the limit price is based on option Greeks or another formula based on market conditions?
09/21/2021
FAQ| F. Representative Orders
F2. When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
09/21/2021
FAQ| B. Reporting Requirements
B3. Are indications of interest ("IOIs") or requests for quotes ("RFQs") reportable to the CAT?
09/21/2021
FAQ| Q. Customer and Account Information
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
09/21/2021
FAQ| E. Order Routing and Execution
E1. When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
09/21/2021
FAQ| D. Order Receipt
D23. How should the accountHolderType be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? Should the accountHolderType represent the status of the IA/money manager or the status of the IA/money manager’s client?
09/21/2021
FAQ| U. Allocations
U22. What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1
09/21/2021
FAQ| B. Reporting Requirements
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?
09/21/2021
FAQ| B. Reporting Requirements
B53. Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?
09/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.6
09/16/2021
Reference Material
CAT Costs (September 21, 2021) - Presentation
09/16/2021
Reference Material
CAT Funding (September 22, 2021) - Presentation
09/15/2021
Event
Industry Testing Checkpoint Call (September 14, 2021)

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