Latest Updates | CATNMSPLAN

06/18/2019
FAQ| D. Order Receipt
D6. Should accounts belonging to family members of an employee of an Industry Member CAT Reporter be reported with the accountHolderType Code "E"?
06/18/2019
FAQ| P. Feedback and Error Correction
P4. When will rejections be available?
06/18/2019
FAQ| P. Feedback and Error Correction
P9. For what reasons are records rejected by CAT?
06/18/2019
FAQ| P. Feedback and Error Correction
P12. Can accepted data be viewed in CAT?
06/18/2019
FAQ| E. Order Routing and Execution
E24. Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?
06/18/2019
FAQ| D. Order Receipt
D25. How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
06/18/2019
FAQ| D. Order Receipt
D21. What accountHolderType value should be used if the beneficial owner of an account for which an order is received is an employee but the account also meets the definition of an institutional account?
06/18/2019
FAQ| O. Technical Requirements
O9. Where can information on obtaining access to the private network for reporting to CAT be found?
06/18/2019
FAQ| O. Technical Requirements
O11. Who do I contact if I need to change the configuration of my connection to the private network?
06/18/2019
FAQ| K. Options
K4. Are option assignments required to be reported to CAT?
06/18/2019
FAQ| D. Order Receipt
D20. Why is there not an allowable value of unknown (U) for the accountHolderType Code field on New Order Events (MENO)?
06/18/2019
FAQ| D. Order Receipt
D8. Should accountHolderType "E" be used if a registered representative has discretion over a customer account?
06/18/2019
FAQ| J. OTC Equity Securities
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?
06/18/2019
FAQ| D. Order Receipt
D7. Should accountHolderType Code "E" be used for orders received from former or retired employees or employees of other broker-dealers?
06/18/2019
FAQ| H. ATS
H3. What should be populated in the "nbboTimestamp" fields on the New Order, Order Accept, Child Order, Child Order Modified, Order Modified, Order Adjusted and Trade Events for ATSs?

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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
X. Reference Database
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
X. Reference Database
All Topics