Latest Updates | CATNMSPLAN

Reference Material
CAT LLC Shares Condolences in Passing of FINRA Executive and Market Regulation Veteran Thomas Gira
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r22
Timeline Activity
Test Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Small Firms: Production Go-Live for Equities 2a reporting requirements
Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
Reference Material
Q2 2022 QPR
Timeline Activity
Production Go-Live for Options 2b file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
Event
Daily Industry Testing Checkpoint Call (6/15/2020)
Event
Daily Industry Testing Checkpoint Call (6/22/2020)
CAT Alert
CAT Alert 2018-001- Industry Member Reporting Technical Specifications
Timeline Activity
Production Environment Go-Live for Equities 2a Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Production Go-Live for Phase 2d reporting requirements
Timeline Activity
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage

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