Topics | CATNMSPLAN

12/07/2022

FAQ

B60. What party has the obligation to report the Order Effective event/Option Order Effective event/Multi-Leg Order Effective event (MEOE/MOOE/MLOE) to CAT when all underlying conditions are met such that the order becomes and remains effective?

Topics

B. Reporting Requirements

12/07/2022

FAQ

B62. What are the CAT reporting requirements for Trailing Stop orders?

Topics

B. Reporting Requirements

12/07/2022

FAQ

B59. What are the reporting requirements when a Stop, Stop Limit, Stop on Quote, or Stop Limit on Quote order is triggered?

Topics

B. Reporting Requirements

12/07/2022

FAQ

B47. Order Internal Route Modified events are not required to be reported to CAT until Phase 2c. In Phase 2a, what orderID should be populated on events subsequent to the internal route modification (e.g., MEOR, MEOT)?

Topics

B. Reporting Requirements

12/05/2022

FAQ

Q68. How must Industry Members report an FDID Record to CAIS in the scenario where the Authorized Trader is a government employee of a U.S. state, county or municipality and acting in the capacity of a guardian or conservator for a minor or incapacitated person, and the government employee Authorized Trader does not provide a year of birth or input identifier (such as a social security number) citing exemptions from the definition of “customer” under the Customer Identification Program (“CIP”) Rules?

Topics

Q. Customer and Account Information

12/05/2022

FAQ

Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications by March 17, 2023 per the implementation schedule as set forth in CAT Alert – 2022-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by March 17, 2023 (the Full CAIS Compliance Go-Live date)?

Topics

Q. Customer and Account Information

12/05/2022

FAQ

Q58. To facilitate reporting of correct Customer names as required by the CAT NMS Plan, the Full CAIS Technical Specifications require Natural Person first and last names to be reported in two separate fields. Accordingly, if both the firstName and lastName fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have historically maintained the first and last names in a single field within their system and may be unable to parse them into separate fields by March 17, 2023. How must Industry Members report Natural Person Customers if the first and last names are not able to be parsed within the Industry Member’s system by March 17, 2023 (the Full CAIS Go-Live date)?

Topics

Q. Customer and Account Information

12/05/2022

FAQ

Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?

Topics

Q. Customer and Account Information

12/05/2022

FAQ

Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?

Topics

Q. Customer and Account Information

12/05/2022

FAQ

Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?

Topics

Q. Customer and Account Information

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
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
All Topics

All Topics