Latest Updates | CATNMSPLAN

08/14/2025
CAT Alert
CAT Alert 2025-03 - CAT Billing During Stay of 11th Circuit Decision on CAT Funding Model
08/14/2025
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2.0 r4 (Redlined)
08/05/2025
Announcement
2025 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
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)?
07/31/2025
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)
07/29/2025
Reference Material
SEC Order Granting Extension of Temporary Exemptive Relief Related to Representative Orders

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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