Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B29. How should an order be identified when the broker (as opposed to the trader) has price and time discretion?
11/15/2018
FAQ| D. Order Receipt
D13. An Industry Member receives an order with instructions to execute the order on a net basis. No specific instruction is given with respect to which trading session the order is eligible to be executed. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at a net price which is reported to the tape. What should be populated in the tradingSession field on the New Order or Order Accepted Event?
11/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
11/15/2018
FAQ| B. Reporting Requirements
B25. What are the CAT reporting requirements for a proprietary trading firm?
11/15/2018
FAQ| P. Feedback and Error Correction
P7. Can previously accepted records be deleted?
11/15/2018
FAQ| G. Manual Orders
G3. What does the manualFlag field represent?
11/15/2018
FAQ| E. Order Routing and Execution
E21. If a trade is corrected in a TRF, what must be reported to CAT?
11/15/2018
FAQ| F. Representative Orders
F4. BD A receives orders from four separate customers totaling 10,000 shares, all with instructions to handle as agent. BD A sends one larger order, properly marked as agency, to a Participant exchange or another market center in an attempt to obtain an execution for these four orders. BDA holds the individual customer orders and never gives up control of these orders to any other broker-dealer or market center. Upon receipt of an execution of the larger order, the shares are recorded in my firm's agency allocation account. Subsequently, BDA allocates the shares from the agency allocation account to the individual customer accounts based upon a predetermined allocation methodology. How should these orders and related executions be reported to CAT?
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
10/30/2018
FAQ| K. Options
K3. Are responses to auctions reportable in Phase 2b?
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
10/30/2018
Technical Specifications
Industry Member Reporting Scenarios v1.0
10/30/2018
FAQ| C. Definitions
C1. How has the Operating Committee defined “Trading Day”?

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