Latest Updates | CATNMSPLAN

Timeline Activity
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Production Go-Live for Equities 2a file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
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
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

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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
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
All Topics