Latest Updates | CATNMSPLAN

11/15/2018
FAQ| O. Technical Requirements
O6. Are back-up circuits required for reporting to CAT via SFTP?
11/15/2018
FAQ| D. Order Receipt
D14. An Industry Member receives an order with instructions to execute during regular market hours. However, when the regular trading session expires, the order is not complete and the customer instructs the Industry Member to finish the order. What should be populated in the tradingSession field on the New Order or Order Accepted Event in this instance?
11/15/2018
FAQ| F. Representative Orders
F4. BD A receives orders from four separate customers totaling 10,000 shares, all with instructions to handle as agent. BD A sends one larger order, properly marked as agency, to a Participant exchange or another market center in an attempt to obtain an execution for these four orders. BDA holds the individual customer orders and never gives up control of these orders to any other broker-dealer or market center. Upon receipt of an execution of the larger order, the shares are recorded in my firm's agency allocation account. Subsequently, BDA allocates the shares from the agency allocation account to the individual customer accounts based upon a predetermined allocation methodology. How should these orders and related executions be reported to CAT?
11/15/2018
FAQ| D. Order Receipt
D9. For orders received electronically from another CAT Reporter, must the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?
11/15/2018
FAQ| P. Feedback and Error Correction
P15. What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
11/15/2018
FAQ| H. ATS
H5. An ATS receives an IOC order and prior to obtaining any applicable reference price necessary to process the order, the ATS determines there is no contra side interest available for execution. Consequently, the ATS immediately cancels the order back to the subscriber without ever determining an applicable reference price. What should the ATS populate in the NBBO (or other applicable reference price) information fields?
11/15/2018
FAQ| P. Feedback and Error Correction
P11. Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?
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 (11/7/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
10/30/2018
FAQ| K. Options
K3. Are responses to auctions reportable in Phase 2b?
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
10/30/2018
Technical Specifications
Industry Member Reporting Scenarios v1.0
10/17/2018
FAQ| N. Third Party Reporting
N1. Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?

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