Latest Updates | CATNMSPLAN

07/31/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r9 (Clean)
07/31/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r9 (Redlined)
07/31/2025
FAQ| J. OTC Equity Securities
J6. What are the reporting requirements for quotes entered directly into OTC Link IDQS via OTC Link IDQS’s Dealer Application?
07/31/2025
FAQ| B. Reporting Requirements
B43. Are verbal and manual quotes subject to the CAT reporting requirements?
07/31/2025
Technical Specifications
Industry Member Reporting Scenarios v4.16 (Redlined)
07/31/2025
Technical Specifications
Industry Member Reporting Scenarios v4.16
07/31/2025
FAQ| B. Reporting Requirements
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?
07/31/2025
Technical Specifications
Historical Industry Specifications Phased Approach
07/31/2025
FAQ| F. Representative Orders
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?
07/31/2025
FAQ| F. Representative Orders
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?
07/31/2025
FAQ| F. Representative Orders
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?
07/29/2025
Reference Material
SEC Order Granting Extension of Temporary Exemptive Relief Related to Representative Orders
07/22/2025
Reference Material
SEC Approved CAT NMS Plan as of 7/17/2025
07/21/2025
FAQ| K. Options
K10. Does the exemption for Options Market Maker quotes apply to orders that function as quotes?
07/18/2025
Announcement
2025 Consolidated Audit Trail Advisory Committee List - Updated

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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
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
All Topics