Latest Updates | CATNMSPLAN

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| M. Firm Designated ID
M6. If an Industry Member uses multiple reporting vendors for both Transaction system and Reference Database reporting, must each vendor use the same firmDesignatedID value representing a single, unique account, relationship or entity identifier when reporting to CAT?
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| 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?
05/05/2026
FAQ| X. Reference Database
X9. Are regulators expecting complete accuracy with respect to the roleEndReason field?
05/04/2026
Reference Material
Reference Database Onboarding Guide v1.0
04/30/2026
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.2.0 (Clean)
04/30/2026
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.2.0 (Redlined)
04/23/2026
Reference Material
Small Firm Roadmap
04/23/2026
Event
Monthly CAT Update Newsletter: April 2026
04/23/2026
Reference Material
Small Firm Roadmap - Reference Database
04/07/2026
FAQ| V. CAT Billing
V23. How will transactions in fractional shares be treated under the funding model?
04/01/2026
Reference Material
SEC Approved CAT NMS Plan as of 4/1/2026
04/01/2026
Reference Material
CAT Fee Alert 2026-1

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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