Latest Updates | CATNMSPLAN

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
Amended and Restated CAT NMS Plan Submission (2/17/2015)
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
Timeline Activity
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Reference Material
Q2 2022 QPR
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2b reporting
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.4 (March 23 functionality)
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations

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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