Latest Updates | CATNMSPLAN

05/05/2026
FAQ| X. Reference Database
X13. Must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database when there are standing instructions on the CAT Customer’s account, when the Industry Member originates an order in a CAT Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a CAT Customer’s account to facilitate operational processes?
05/05/2026
FAQ| M. Firm Designated ID
M8. This FAQ has been retired and archived.
05/05/2026
FAQ| X. Reference Database
X5. When reporting a piggyback clearing scenario to the Reference Database, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?
05/05/2026
FAQ| M. Firm Designated ID
M3. This FAQ has been retired and archived. Please refer to FAQ M1.
05/05/2026
FAQ| X. Reference Database
X1. Can an Industry Member submit the same record to the Reference Database every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
05/05/2026
FAQ| X. Reference Database
X10. What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?
05/05/2026
FAQ| M. Firm Designated ID
M1. What are the circumstances under which a firmDesignatedID value representing a single, unique account, relationship or entity identifier can change over time?
05/05/2026
FAQ| X. Reference Database
X7. FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in the Reference Database?
05/05/2026
FAQ| X. Reference Database
X18. How must Industry Members report an FDID Record to the Reference Database when a disregarded entity and its parent company have the same Employer Identification Number (EIN) and are both CAT Customers associated to the same FDID? Does the reporting requirement change if the disregarded entity has a different EIN from its parent company?
05/05/2026
FAQ| X. Reference Database
X15. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
05/05/2026
FAQ| M. Firm Designated ID
M16. This FAQ has been retired and archived.
05/05/2026
FAQ| X. Reference Database
X6. Following the closure of an account and the associated FDID being ended in the Reference Database, is an Industry Member required to re-activate the FDID in the Reference Database for non-CAT reportable entries, such as delayed dividend payments?
05/05/2026
FAQ| M. Firm Designated ID
M7. This FAQ has been retired and archived. Please refer to FAQ M1.
05/05/2026
FAQ| X. Reference Database
X3. When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
05/05/2026
FAQ| X. Reference Database
X11. What CAT Customer information should be reported to the CAT when a legal entity (an “entity authorized trader” for purposes of this FAQ only) - such as a registered investment adviser or a bank trust department - is authorized to provide trading instructions for an account, and the Industry Member receives trading instructions for the account from a natural person who is employed by the entity authorized trader and who is authorized to trade for that account on behalf of the entity authorized trader? For the purposes of this FAQ, neither the entity authorized trader nor the employee authorized to trade for the account on behalf of the entity authorized trader is an account holder for the account at issue.

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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