Latest Updates | CATNMSPLAN

05/21/2020
Event
CAT Technical Specification Working Group Q&A - 5/21/20
05/21/2020
FAQ| T. Production Readiness Testing
T6. By what date must Industry Members that only handle orders in options complete production readiness testing?
05/21/2020
FAQ| M. Firm Designated ID
M8. When will Industry Members be required to report the FDID to the CAT?
05/21/2020
Event
Intrafirm Linkage Overview (5/20/2020)
05/21/2020
FAQ| A. General
A21. This FAQ has been retired. Please refer to FAQs A5, A6 and A7.
05/21/2020
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
05/21/2020
FAQ| T. Production Readiness Testing
T4. Is production readiness testing available after June 8, 2020?
05/21/2020
FAQ| M. Firm Designated ID
M7. How will regulators use the FDID?
05/19/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.2 (Redlined)
05/19/2020
FAQ| B. Reporting Requirements
B28. Are event times required to be reported in Eastern Time?
05/19/2020
CAT Alert
CAT Alert 2020-01 - Industry Member Test Plan
05/19/2020
FAQ| Q. Customer and Account Information
Q9. What is an Unidentified Large Trader ID (ULTID) and are all Industry Members required to report ULTIDs to CAT CAIS?
05/19/2020
FAQ| Q. Customer and Account Information
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason?
05/19/2020
FAQ| Q. Customer and Account Information
Q15. If an Industry Member ends an LTID to FDID association for a legitimate reason (such as the customer no longer qualified as a large trader), and later is required to reestablish it, what should the ltidEffectiveDate be?
05/19/2020
Event
Weekly Industry Testing Checkpoint Call (5/19/2020)

1
2
3
4
5
6
7
8
9
…
Next ›
Last »

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
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
All Topics