Topics | CATNMSPLAN

03/09/2021

Technical Specifications

Customer & Account Technical Specifications for Industry Members v2.0 r1 (Redlined)

03/09/2021

Event

CAT Technical Specification Working Group Q&A - 3/9/21

Topics

B. Reporting Requirements

03/09/2021

FAQ

U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?

Allocation events for shares/contracts initially booked to an account or changes to shares/contracts that were initially booked to an account prior to April 26, 2021 (Phase 2c - Equities) or December 13, 2021 (Phase 2d – Options) are not required to be reported to the CAT. This includes any actions subsequent to the initial booking, such as allocation amendments or cancel/rebills.

Topics

U. Allocations

03/09/2021

FAQ

J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?

Starting in Phase 2d, the New Quote event (MENQ) is used to report:

Topics

J. OTC Equity Securities

03/09/2021

Reference Material

Customer & Account Technical Specifications for Industry Members v2.0 r1- Clean

03/05/2021

Event

Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)

On Thursday, March 4, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on the CAT reporting requirements for Requests for Quotes ("RFQs") and other forms of solicitation.

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.