Latest Updates | CATNMSPLAN

08/07/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1
08/04/2020
Event
Weekly Industry Testing Checkpoint Call (8/4/2020)
07/29/2020
Event
CAT Compliance Industry Webinar (7/29/2020)
07/29/2020
Event
Weekly Industry Testing Checkpoint Call (7/28/2020)
07/28/2020
FAQ| A. General
A33. Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?
07/28/2020
FAQ| B. Reporting Requirements
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?
07/28/2020
FAQ| E. Order Routing and Execution
E29. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this exemptive relief apply to trade corrections? That is, are trade corrections that are contained in the FINRA Facility Data submitted to the Central Repository by FINRA also required to be reported to CAT by the Industry Member?
07/28/2020
FAQ| E. Order Routing and Execution
E30. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this apply if the trade is reversed in the FINRA Facility on a subsequent day?
07/27/2020
Technical Specifications
Customer and Account Status File Schema v1.0.0 (JSON)
07/27/2020
Technical Specifications
Customer and Account Industry Member Submission Schema v1.0.0
07/23/2020
Event
Interfirm Linkage Overview (7/22/2020)
07/22/2020
Governance
CAT Implementation Plan
07/21/2020
Event
Weekly Industry Testing Checkpoint Call (7/21/2020)
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List
07/17/2020
FAQ| U. Allocations
U12. In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?

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