Latest Updates | CATNMSPLAN

11/15/2018
FAQ| P. Feedback and Error Correction
P2. What will happen if order information is submitted for a security that is not CAT reportable?
11/15/2018
FAQ| P. Feedback and Error Correction
P1. How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?
11/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
11/15/2018
FAQ| R. Clock Synchronization
R3. Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?
11/15/2018
FAQ| C. Definitions
C3. What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
11/15/2018
FAQ| B. Reporting Requirements
B36. How should prices (including fractions) be recorded in CAT?
11/15/2018
FAQ| B. Reporting Requirements
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B33. How should a fractional number of shares as leavesQty be reported?
11/15/2018
FAQ| B. Reporting Requirements
B32. How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
11/15/2018
FAQ| B. Reporting Requirements
B31. Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B29. How should an order be identified when the broker (as opposed to the trader) has price and time discretion?
11/15/2018
FAQ| D. Order Receipt
D12. An Industry Member receives an order with instructions to execute the order as agent or riskless principal during regular market hours. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at an average price of the shares accumulated during regular market hours. What should be populated in the tradingSession field on the New Order or Order Accepted Event?
11/15/2018
FAQ| B. Reporting Requirements
B25. What are the CAT reporting requirements for a proprietary trading firm?
11/15/2018
FAQ| B. Reporting Requirements
B24. Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?

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