Latest Updates | CATNMSPLAN

Timeline Activity
Test Environment Opens for Equities Phase 2c reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Options 2b reporting requirements
Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Small Firms: Production Go-Live for Equities 2a reporting requirements
Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Go-Live for Phase 2d reporting requirements
Announcement
CAT LLC Shares Condolences in Passing of FINRA Executive and Market Regulation Veteran Thomas Gira
Timeline Activity
Technical Specifications Published for Options Phase 2d
Event
Weekly Industry Checkpoint Call (3/24/2020)
Reference Material
Q1 2021 QPR
CAT Alert
Basic page
Industry Member Compliance Glossary (Archived 10/1/2026)
Reference Material
Notice of Filing of Exemptive Request Letter Related to Phase 2c Cutover
Event
Industry Testing Checkpoint Call (March 16, 2021)
Reference Material
Q4 2020 QPR

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].