Latest Updates | CATNMSPLAN

12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
09/02/2015
Governance
Approval Order of Exemptive Request Letter
09/02/2015
FAQ| Q. Customer and Account Information
Q2. Are CAT Reporters required to report Customer-IDs to the CAT?
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
01/30/2015
FAQ| Q. Customer and Account Information
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
Timeline Activity
Connectivity Supplement updated to include AWS PrivateLink information
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Last Day of Interim Reporting Obligation 2
Timeline Activity
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Members are required to begin reporting Quote Sent Time on OMM quotes

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