Latest Updates | CATNMSPLAN

08/11/2022
FAQ| Q. Customer and Account Information
Q21. What is the reporting deadline for reporting Customer and Account information for the LTID phase and full Customer and Account phase?
08/10/2022
Governance
Exemptive Request Letter Related to LTID Reporting
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
08/09/2022
FAQ| C. Definitions
C5. When should the value ‘O’ (Market Making) be used for accountHolderType?
08/09/2022
FAQ| Q. Customer and Account Information
Q64. When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
08/09/2022
FAQ| U. Allocations
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
08/09/2022
FAQ| Q. Customer and Account Information
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
08/04/2022
FAQ| F. Representative Orders
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?
08/04/2022
FAQ| F. Representative Orders
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?
08/04/2022
FAQ| F. Representative Orders
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
08/03/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022)
08/02/2022
Reference Material
CAT LLC- Q3 2022 Financial and Operating Budget
08/02/2022
Event
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022)
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

« First
‹ Previous
…
5
6
7
8
9
10
11
12
13
…
Next ›
Last »

Need Help?

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