Latest Updates | CATNMSPLAN

10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)
10/17/2018
FAQ| N. Third Party Reporting
N1. Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?
09/11/2018
FAQ| B. Reporting Requirements
B10. How should Industry Members report transactions involving fractional shares to the CAT?
09/05/2018
Technical Specifications
OATS To CAT Events Field Level Mapping v1
08/15/2018
FAQ| M. Firm Designated ID
M5. Which FDID must be provided for firm owned or controlled accounts?
08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)
06/29/2018
Event
Industry Update on the Consolidated Audit Trail (6/28/18)
04/18/2018
FAQ| D. Order Receipt
D3. How would an Industry Member determine the time of order receipt?
04/18/2018
FAQ| D. Order Receipt
D2. Are Industry Members required to report the receipt of an order to the CAT if the Industry Member rejects the order?
03/28/2018
Event
Industry Update on the Consolidated Audit Trail (3/28/18)
03/21/2018
FAQ| A. General
A12. Will CAT Reporters have access to their own submitted data?
03/21/2018
FAQ| K. Options
K1. Will Options Clearing Corporation (OCC) data be included in the CAT?
03/21/2018
FAQ| A. General
A3. Does the industry have a role in the management of the CAT?
03/21/2018
FAQ| A. General
A16. What are the requirements for accessing historical CAT Data?
03/21/2018
FAQ| A. General
A13. Will SIP and OPRA data be included in the CAT?

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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