Latest Updates | CATNMSPLAN

08/09/2022
FAQ| U. Allocations
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
08/09/2022
FAQ| Q. Customer and Account Information
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
08/03/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022)
08/02/2022
Event
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022)
08/02/2022
Reference Material
CAT LLC- Q3 2022 Financial and Operating Budget
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
07/29/2022
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r15
07/29/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r16
07/28/2022
Event
Monthly CAT Update (July 28, 2022)
07/28/2022
Event
CAIS Industry Testing Checkpoint Call (July 27, 2022)
07/26/2022
FAQ| Q. Customer and Account Information
Q63. How must an FDID Record be reported to CAIS 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.
07/21/2022
Basic page
CAT CAIS- Known Issues List - LTID Phase
07/21/2022
Basic page
Planned CAIS LTID Phase Technical Specification Updates
07/20/2022
Event
CAIS Industry Testing Checkpoint Call (July 20, 2022)

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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