Latest Updates | CATNMSPLAN

05/08/2026
FAQ| U. Allocations
U7. Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO)/ Multi-Leg New Order (MLNO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
05/08/2026
Technical Specifications
Reference Database Technical Specifications v2.4.0 (Redlined)
05/08/2026
FAQ| V. CAT Billing
V4. How is a CAT Executing Broker’s CAT fee calculated?
05/08/2026
Reference Material
CAT Billing Scenarios v1.1.4 (Clean)
05/08/2026
FAQ| V. CAT Billing
V1. How is the cost of the CAT being funded?
05/07/2026
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
05/05/2026
FAQ| M. Firm Designated ID
M9. This FAQ has been retired and archived. Please refer to M2.
05/05/2026
FAQ| X. Reference Database
X16. How must an FDID Record be reported to the Reference Database when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
05/05/2026
FAQ| T. Production Readiness Testing
T7. This FAQ has been retired and archived.
05/05/2026
FAQ| X. Reference Database
X14. How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?
05/05/2026
FAQ| M. Firm Designated ID
M17. This FAQ has been retired and archived. Please refer to FAQ M1.
05/05/2026
FAQ| X. Reference Database
X4. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?
05/05/2026
FAQ| X. Reference Database
X12. If an Industry Member has received a “Not Held” order, which only gives the Industry Member discretion as to the price and time of execution of the order, must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database?
05/05/2026
FAQ| M. Firm Designated ID
M2. Is it permissible to use information that can be used to identify a customer, trading account or relationship as the firmDesignatedID value, or as part of the firmDesignatedID value, when submitting data to the Transaction system or the Reference Database?
05/05/2026
FAQ| X. Reference Database
X2. Is an Industry Member permitted to submit a CAT Customer’s Sensitive Identifier, name, address, date of birth or account number to the Reference Database?

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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