Latest Updates | CATNMSPLAN

06/08/2021
Event
Industry Testing Checkpoint Call (June 8, 2021)
06/04/2021
Timeline Activity
Small Industry Members and their CAT Reporting Agents must complete production readiness testing for 2a, 2b, 2c and 2d reporting
06/02/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r3
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r6
06/02/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0
06/02/2021
FAQ| U. Allocations
U28. If an Industry Member aggregates shares from separate orders when booking equity shares back to the same customer account, how should the side field be populated in the Post Trade Allocation event (MEPA) if the underlying transactions included both short and long sales?
05/29/2021
Announcement
2020 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC
05/25/2021
Event
Industry Testing Checkpoint Call (May 25, 2021)
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v3.12 (Redlined)
05/21/2021
Technical Specifications
Industry Member Reporting Scenarios v4.3
05/20/2021
Announcement
Simplified Login Screen
05/18/2021
FAQ| Q. Customer and Account Information
Q47. How should Industry Members utilize the ‘ADVISER’ value in the customerType field?
05/18/2021
FAQ| C. Definitions
C8. The IM Technical Specifications state that “Industry Members are required to report responses to RFQs and other forms of solicitation that are firm expressions of interest to trade”. How are “other forms of solicitation” defined for CAT reporting purposes?

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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