Latest Updates | CATNMSPLAN

04/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.0
04/29/2019
FAQ| A. General
A28. The CAT Registration form requires that a Registered Principal be named. Must that Registered Principal have a Series 24 license?
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)
04/11/2019
FAQ| O. Technical Requirements
O3. Will FINRA CAT, LLC provide some type of software/workstation for Industry Members to transmit the required order data?
04/11/2019
FAQ| A. General
A9. Who is the Plan Processor for the CAT?
04/11/2019
FAQ| O. Technical Requirements
O1. What are the mechanisms for reporting to CAT?
04/11/2019
FAQ| L. Equity Floor Brokers
L1. How should orders sent to a Floor Broker on the New York Stock Exchange, NYSE American LLC or NYSE Arca, Inc. be reported to CAT?
04/03/2019
Event
Industry Update on CAT Reporting Technical Specifications (4/3/2019)
03/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.1 Draft 2
03/29/2019
Technical Specifications
Industry Member Reporting Scenarios v1.1 Draft 2
03/25/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v1.72
03/19/2019
Event
Industry Member Update on Consolidated Audit Trail Registration (3/19/2019)
03/12/2019
FAQ| P. Feedback and Error Correction
P16. What is the T+3 error correction timeframe based on (e.g., submission date, original error date, etc.)? Example: if an order event is submitted on T and is rejected on that day, then corrected on T+1 but the correction on T+1 fails, is the event on T considered "corrected" or does the T+1 rejection need to be addressed and, if so, when?
02/28/2019
Technical Specifications
Industry Member Reporting Scenarios v1.1 Draft 1
02/28/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.1 Draft 1

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics