Latest Updates | CATNMSPLAN

06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
FAQ| Q. Customer and Account Information
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
Timeline Activity
Production Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Industry Test Release 1.1
Release 1 - File Submission and Data Integrity Validations
Announcement
SEC Approval Order of Exemptive Request Letter related to Phased CAT Reporting Timeline for Industry Members
Event
Monthly CAT Update (April 17, 2025)
Reference Material
Q4 2020 QPR
Timeline Activity
Test Environment opens for file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Technical Specifications Published for Options Phase 2d
Timeline Activity
Plan Participant UAT begins for February Industry Test Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Last Day for Interim Reporting Obligation 3

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