Latest Updates | CATNMSPLAN

11/15/2018
FAQ| I. Foreign Securities
I5. What are an Industry Member's CAT reporting obligations when a US symbol is not available on the day an order is received and executed? For example, an order is received and executed on Monday at which time a symbol is requested. The symbol, however, is not issued until Wednesday.
11/15/2018
FAQ| E. Order Routing and Execution
E7. Executed orders that exceed 100 million shares must be reported to the ORF in two or more transaction reports because the OTC Trade Reporting Facility (ORF) will not accept trades that exceed 99,999,999 shares. Can a single CAT Trade Event be matched to more than one ORF trade report?
11/15/2018
FAQ| B. Reporting Requirements
B17. Is CAT data required to be maintained in a format that could be resubmitted to CAT?
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
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| 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| P. Feedback and Error Correction
P14. If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
10/30/2018
Technical Specifications
Industry Member Reporting Scenarios v1.0
10/30/2018
FAQ| C. Definitions
C1. How has the Operating Committee defined “Trading Day”?
10/30/2018
FAQ| K. Options
K3. Are responses to auctions reportable in Phase 2b?
10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)

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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
X. Reference Database
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
X. Reference Database
All Topics