Latest Updates | CATNMSPLAN

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
Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Event
Monthly CAT Update (June 19, 2025)
Reference Material
SEC Approved CAT NMS Plan as of 7/24/2020
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0
Timeline Activity
Test Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Reference Material
CAT LLC- 2023 Financial and Operating Budget
Announcement
SEC Approval Order of Exemptive Request Letter related to Introducing Broker Small Industry Members
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration

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