Latest Updates | CATNMSPLAN

09/21/2021
FAQ| A. General
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?
09/21/2021
FAQ| K. Options
K2. What Industry Member Data will be reportable to the CAT during Phase 2b of the revised implementation schedule?
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1
09/21/2021
FAQ| B. Reporting Requirements
B5. Are all Industry Members required to report NBBO information to the CAT?
09/21/2021
FAQ| B. Reporting Requirements
B75. Are Industry Members required to capture and report a requestTimestamp on modify/cancel events initiated by the firm?
09/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.6
09/16/2021
Reference Material
CAT Funding (September 22, 2021) - Presentation
09/16/2021
Reference Material
CAT Costs (September 21, 2021) - Presentation
09/15/2021
Event
Industry Testing Checkpoint Call (September 14, 2021)
09/14/2021
Event
Phase 2d Cutover (September 14, 2021)
09/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r4
09/09/2021
Event
Monthly CAT Implementation Update (September 9, 2021)
09/07/2021
Event
ARCAOP Pillar Testing in the Test Environment (September 7, 2021)
09/01/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (September 1, 2021)
08/31/2021
FAQ| U. Allocations
U9. What value should be used to populate the eventTimestamp in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?

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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