Latest Updates | CATNMSPLAN

08/04/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
08/03/2021
Event
CAT Technical Specification Working Group Q&A - August 3, 2021
08/03/2021
Reference Material
Industry Member Schema v4.0.0 r10 (2d)
08/02/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r10 (Redlined)
08/02/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r10
07/29/2021
Event
LTID to Full CAIS Cutover (October 13, 2021)
07/29/2021
Event
Full CAIS Certification Webinar (October 6, 2021)
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1
07/28/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r3
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1 (Redlined)
07/27/2021
FAQ| J. OTC Equity Securities
J5. The Industry Member Technical Specifications state that “If the status of a quote that was sent by an Industry Member to an Industry Member inter-dealer quotation system is changed as a result of an automatic process, then a Quote Status event is only required to be reported by the inter-dealer quotation system.” How is an ‘Automatic Process’ defined for the purpose of reporting Quote Status events to CAT?
07/27/2021
Event
CAT CAIS Technical Specification Working Group Q&A - July 27, 2021
07/27/2021
FAQ| D. Order Receipt
D33. How should the tradingSession field be populated for option orders?
07/23/2021
Reference Material
Industry Member Onboarding Guide v1.19
07/22/2021
Event
Multi-Leg/Complex Option Order (July 21, 2021)

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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