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01/30/2015
FAQ
Q5.
What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
Topics
Q. Customer and Account Information
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
Topics
A. General
M. Firm Designated ID
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
Topics
A. General
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
Topics
A. General
Event
Industry Webinar - CAT 101
CAT 101 01/08/20 - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
M. Firm Designated ID
N. Third Party Reporting
P. Feedback and Error Correction
R. Clock Synchronization
T. Production Readiness Testing
CAT Alert
CAT Alert 2019-04 - Feedback Definition for Named Errors
Topics
P. Feedback and Error Correction
CAT Alert
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0
Topics
B. Reporting Requirements
O. Technical Requirements
CAT Alert
CAT Alert 2019-02 - CAT Reporting Technical Specifications for Industry Members - Final
Topics
B. Reporting Requirements
O. Technical Requirements
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
Topics
H. ATS
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0
Topics
B. Reporting Requirements
O. Technical Requirements
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