Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B15. Does the CAT NMS Plan supersede Rule 17a-3?
11/15/2018
FAQ| B. Reporting Requirements
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
11/15/2018
FAQ| P. Feedback and Error Correction
P15. What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
11/15/2018
FAQ| N. Third Party Reporting
N3. May an Industry Member use more than one third party to transmit data on its behalf to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B32. How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
11/15/2018
FAQ| S. Security
S3. How will CAT ensure the security of the data?
11/15/2018
FAQ| O. Technical Requirements
O13. Where can the status of the CAT system be found?
11/15/2018
FAQ| E. Order Routing and Execution
E23. Is the TRF reported Branch/Sequence Number or FINRA Compliance Number required to be unique within an IMID (e.g. MPID) within a day?
11/15/2018
FAQ| D. Order Receipt
D12. An Industry Member receives an order with instructions to execute the order as agent or riskless principal during regular market hours. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at an average price of the shares accumulated during regular market hours. What should be populated in the tradingSession field on the New Order or Order Accepted Event?
11/15/2018
FAQ| O. Technical Requirements
O10. Can files be sent to CAT using SFTP via the Internet?
11/15/2018
FAQ| G. Manual Orders
G2. Are orders received via the telephone and then manually entered into a clearing firm's system considered electronic?
11/15/2018
FAQ| E. Order Routing and Execution
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?
11/15/2018
FAQ| A. General
A24. Is CAT a real-time system?
11/15/2018
FAQ| B. Reporting Requirements
B24. Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?
11/15/2018
FAQ| E. Order Routing and Execution
E16. A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?

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