Latest Updates | CATNMSPLAN

06/02/2026
Event
Reference Database Industry Webinar (June 2, 2026)
05/13/2026
Reference Material
Industry Member Schema v4.2.0
05/11/2026
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.18
05/11/2026
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.3 (Redlined)
05/08/2026
FAQ| V. CAT Billing
V6. How many types of CAT fees are there?
05/08/2026
FAQ| V. CAT Billing
V28. Do Prospective CAT Fees sunset automatically?
05/08/2026
CAT Alert
CAT Alert 2026-01 - Reference Database Reporting: Transition to Schema Version 1.0.0
05/08/2026
FAQ| B. Reporting Requirements
B53. Are account transfers between broker-dealers (e.g., ACATS transfers) required to be reported to CAT?
05/08/2026
CAT Alert
CAT Alert 2023-02 - CAT Billing
05/08/2026
FAQ| V. CAT Billing
V32. Can Prospective CAT Fees or Historical CAT Assessments be billed after March 31, 2028?
05/08/2026
FAQ| A. General
A11. How does the CAT funding model set forth in the CAT NMS Plan work?
05/08/2026
FAQ| M. Firm Designated ID
M13. Does a Firm Designated ID apply to a trading account or to a Customer? Certain provisions in the CAT NMS Plan refer to Firm Designated IDs for Customers.
05/08/2026
Technical Specifications
Reference Database Technical Specifications v2.4.0 (Clean)
05/08/2026
FAQ| V. CAT Billing
V10. When will the first CAT invoices be issued under the CAT Funding Model approved by the Commission in 2026?
05/08/2026
FAQ| V. CAT Billing
V29. How do Prospective CAT Fees operate to provide continuous funding for the CAT?

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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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
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
V. CAT Billing
W. Fee Dispute Resolution
X. Reference Database
All Topics