Latest Updates | CATNMSPLAN

Timeline Activity
First Day of Interim Reporting Obligation 2
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2a reporting
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
LTID Account Information Reporting Go-Live for Phases 2a, 2b, 2c and 2d (Small Industry Members)
Timeline Activity
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Members are permitted to begin reporting Quote Sent Time on OMM quotes
Timeline Activity
Equities AND Options- Report Card Availability
Event
Industry Testing Checkpoint Call (3/2/2021)
Event
Industry Testing Checkpoint Call (March 16, 2021)
Reference Material
Q1 2021 QPR
Timeline Activity
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Test Environment Opens for Options Phase 2d reporting requirements
Timeline Activity
Industry Test Release 1.1
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.4
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Full CAIS Final Technical Specification Published
Technical Specifications
CAT Alert 2018-001- Industry Member Reporting Technical Specifications

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