Latest Updates | CATNMSPLAN

11/15/2018
FAQ| H. ATS
H6. How should an ATS report NBBO (or other relevant reference price) information if the NBBO is invalid or one sided at the time the ATS referenced the NBBO (or other relevant reference price)?
11/15/2018
FAQ| E. Order Routing and Execution
E17. When a firm has multiple functions performed on the same desk or within the same department, how does the firm determine which receivingDeskType to use in the CAT Internal Route Event for orders received by such multi-function desks?
11/15/2018
FAQ| B. Reporting Requirements
B17. Is CAT data required to be maintained in a format that could be resubmitted to CAT?
11/15/2018
FAQ| P. Feedback and Error Correction
P1. How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?
11/15/2018
FAQ| D. Order Receipt
D18. Is the tradingSession field required to be populated for proprietary orders originated by the firm and where no customer instruction is received?
11/15/2018
FAQ| E. Order Routing and Execution
E12. At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?
11/15/2018
FAQ| I. Foreign Securities
I5. What are an Industry Member's CAT reporting obligations when a US symbol is not available on the day an order is received and executed? For example, an order is received and executed on Monday at which time a symbol is requested. The symbol, however, is not issued until Wednesday.
11/15/2018
FAQ| E. Order Routing and Execution
E7. Executed orders that exceed 100 million shares must be reported to the ORF in two or more transaction reports because the OTC Trade Reporting Facility (ORF) will not accept trades that exceed 99,999,999 shares. Can a single CAT Trade Event be matched to more than one ORF trade report?
11/15/2018
FAQ| B. Reporting Requirements
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
11/15/2018
FAQ| R. Clock Synchronization
R3. Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?
11/15/2018
FAQ| P. Feedback and Error Correction
P14. If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
11/15/2018
FAQ| B. Reporting Requirements
B31. Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
11/15/2018
FAQ| P. Feedback and Error Correction
P11. Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?
11/15/2018
FAQ| N. Third Party Reporting
N2. If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
11/15/2018
FAQ| E. Order Routing and Execution
E4. Are orders routed using ACES Pass-Thru considered manual or electronic?

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