Latest Updates | CATNMSPLAN

02/20/2025
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2.0 r2 (Clean)
02/14/2025
CAT Alert
CAT Alert 2025-01: SEC's CAIS Exemption Order
02/11/2025
Event
CAT Transaction and CAIS Technical Specifications Working Group - February 11, 2025
02/10/2025
Reference Material
SEC Order Granting Extension of Temporary Exemptive Relief Related to Representative Orders
01/29/2025
FAQ| S. Security
S3. What oversight mechanisms are in place so that the Plan Processor and the CAT System secure CAT data?
01/29/2025
FAQ| S. Security
S12. Is Industry Testing performed in a Production Environment?
01/29/2025
FAQ| S. Security
S9. How can CAT Data be used?
01/29/2025
FAQ| S. Security
S7. This FAQ has been retired and archived. Please refer to FAQ S5.
01/29/2025
FAQ| S. Security
S6. What is Customer Account Information and Customer Identifying Information?
01/29/2025
FAQ| S. Security
S2. This FAQ has been retired and archived. Please see FAQ S4.
01/29/2025
FAQ| S. Security
S1. What steps are being taken to ensure that the CAT is secure given heightened cybersecurity concerns?
01/29/2025
FAQ| S. Security
S10. How does the Plan Processor protect the security of submitted data?
01/29/2025
FAQ| S. Security
S9. This FAQ has been retired and archived. Please refer to FAQ S8.
01/29/2025
FAQ| S. Security
S7. How does the CAT protect social security numbers?
01/29/2025
FAQ| S. Security
S4. This FAQ has been retired and archived. Please refer to FAQ S5.

« First
‹ Previous
1
2
3
4
5
6
7
8
9
…
Next ›
Last »

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