Latest Updates | CATNMSPLAN

02/27/2019
Announcement
CAT NMS Selects FINRA as Consolidated Audit Trail Plan Processor
02/23/2019
Basic page
Participant CAT Transaction
02/21/2019
Reference Material
Consolidated Audit Trail (“CAT”) Clock Synchronization Certification Form
02/21/2019
Technical Specifications
Industry Member Schema v2.2.1 (JSON)
02/20/2019
Event
Industry Update on the Consolidated Audit Trail (2/20/2019)
01/17/2019
FAQ| M. Firm Designated ID
M9. CAT FAQ M2 prohibits use of a customer account number as the FDID. Does this apply to proprietary accounts of an Industry Member?
01/17/2019
FAQ| G. Manual Orders
G4. If a broker receives a telephone call from a customer who places an order for 100 shares of ABC while on the phone, and the broker simultaneously enters the order into his/her firm’s order handling and execution system as the broker receives the order from the customer over the phone, does the firm need to report to the CAT both a manual receipt time and an Electronic Capture Time?
11/15/2018
FAQ| B. Reporting Requirements
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?
11/15/2018
FAQ| B. Reporting Requirements
B36. How should prices (including fractions) be recorded in CAT?
11/15/2018
FAQ| D. Order Receipt
D17. How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?
11/15/2018
FAQ| B. Reporting Requirements
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?
11/15/2018
FAQ| B. Reporting Requirements
B33. How should a fractional number of shares as leavesQty be reported?
11/15/2018
FAQ| N. Third Party Reporting
N4. Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
11/15/2018
FAQ| D. Order Receipt
D9. For orders received electronically from another CAT Reporter, must the the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?
11/15/2018
FAQ| E. Order Routing and Execution
E6. If a .RA transaction represents an event that is CAT reportable is the transaction report submitted to a FINRA trade reporting system with a .RA modifier required to be matched to the related CAT Trade Event?

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