Latest Updates | CATNMSPLAN

Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Event
Daily Industry Testing Checkpoint Call (6/17/2020)
Event
Daily Industry Testing Checkpoint Call (6/19/2020)
Timeline Activity
Production Environment Go-Live for Equities 2a Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Production Go-Live for Phase 2d reporting requirements
Timeline Activity
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Announcement
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
CAT Alert
CAT Alert 2019-02 - CAT Reporting Technical Specifications for Industry Members - Final
Reference Material
Q1 2022 QPR
Timeline Activity
Production Go-Live for Equities 2c reporting requirements
Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Last Day for Interim Reporting Obligation 4
Timeline Activity
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage

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
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
All Topics