Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B24. Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?
11/15/2018
FAQ| O. Technical Requirements
O10. Can files be sent to CAT using SFTP via the Internet?
11/15/2018
FAQ| G. Manual Orders
G2. Are orders received via the telephone and then manually entered into a clearing firm's system considered electronic?
11/15/2018
FAQ| E. Order Routing and Execution
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?
11/15/2018
FAQ| B. Reporting Requirements
B19. Is a Cancel Report required for an unexecuted IOC (Immediate or Cancel) or FOK (Fill or Kill)?
11/15/2018
FAQ| P. Feedback and Error Correction
P3. If one record in a file is rejected, will the whole file be rejected?
11/15/2018
FAQ| E. Order Routing and Execution
E16. A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?
11/15/2018
FAQ| B. Reporting Requirements
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?
11/15/2018
FAQ| B. Reporting Requirements
B36. How should prices (including fractions) be recorded in CAT?
11/15/2018
FAQ| D. Order Receipt
D17. How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?
11/15/2018
FAQ| B. Reporting Requirements
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?
11/15/2018
FAQ| B. Reporting Requirements
B33. How should a fractional number of shares as leavesQty be reported?
11/15/2018
FAQ| N. Third Party Reporting
N4. Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
11/15/2018
FAQ| D. Order Receipt
D9. For orders received electronically from another CAT Reporter, must the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?
11/15/2018
FAQ| E. Order Routing and Execution
E6. If a .RA transaction represents an event that is CAT reportable is the transaction report submitted to a FINRA trade reporting system with a .RA modifier required to be matched to the related CAT Trade Event?

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].