Latest Updates | CATNMSPLAN

05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
05/05/2021
Reference Material
Plan Amendment Related to Revised Funding Model- Additional Details 5/5/21
05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
05/04/2021
FAQ| U. Allocations
U25. Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?
05/04/2021
FAQ| B. Reporting Requirements
B71. What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?
05/04/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r5
04/30/2021
Reference Material
Sample Customer and Account Reporting Disclosure Form
04/28/2021
Event
Industry Testing Checkpoint Call (April 27, 2021)
04/27/2021
FAQ| U. Allocations
U27. How should Industry Members populate the settlementDate field for allocations in “when-issued” securities?
04/26/2021
FAQ| A. General
A29. What broker-dealers are considered Small Industry Members?
04/20/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r4
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Clean)
04/20/2021
FAQ| Q. Customer and Account Information
Q43. The CAT Reporting Technical Specifications for Industry Members allows for a firmDesignatedID value of ‘PENDING’ if an FDID has not yet been created when an order has been received. Should Industry Members report a firmDesignatedID value of ‘PENDING’ to CAT CAIS?
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Redlined)
04/20/2021
FAQ| M. Firm Designated ID
M4. Which Firm Designated ID (FDID) must be provided in scenarios involving managed accounts where an order may be placed in a master account with subaccount allocations made at a later time?

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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