Latest Updates | CATNMSPLAN

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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| B. Reporting Requirements
B21. How should Exchange for Physicals ("EFP") transactions be reported to CAT?
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
Q11. What is the ltidEndDate?
05/19/2020
FAQ| B. Reporting Requirements
B54. Do the timestamps captured in CAT have to equal the timestamps captured in OATS? For example, if a firm’s system captures nanoseconds, but timestamps are reported to OATS in milliseconds, should the timestamp reported to CAT be captured in nanoseconds?
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
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.2
05/19/2020
FAQ| Q. Customer and Account Information
Q15. If an Industry Member ends an LTID to FDID association for a legitimate reason (such as the customer no longer qualified as a large trader), and later is required to reestablish it, what should the ltidEffectiveDate be?
05/19/2020
FAQ| Q. Customer and Account Information
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason?
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| B. Reporting Requirements
B28. Are event times required to be reported in Eastern Time?
05/18/2020
CAT Alert
05/15/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r3
05/15/2020
FAQ| Q. Customer and Account Information
Q8. May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?
05/15/2020
Reference Material
Industry Member Technical Specifications (2a/2b) v2.2.1 r5 (Redlined)

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