Latest Updates | CATNMSPLAN

11/10/2020
Event
Weekly Industry Testing Checkpoint Call (11/10/2020)
11/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r2
11/06/2020
Technical Specifications
Industry Member Reporting Scenarios v2.9
11/06/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r8
11/06/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r7
11/06/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r3
11/06/2020
Technical Specifications
Industry Member Reporting Scenarios v3.6
11/04/2020
Event
Weekly Industry Testing Checkpoint Call (11/03/2020)
11/04/2020
FAQ| D. Order Receipt
D24. What value should be populated in the deptType field for orders in which a broker-dealer is providing direct market access to customers that are not broker-dealers?
10/29/2020
FAQ| Q. Customer and Account Information
Q13. How should an Industry Member populate the ltidEffectiveDate if it did not record the date on which the LTID or ULTID became associated to the FDID within its systems?
10/28/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/28/2020)
10/27/2020
Event
Weekly Industry Testing Checkpoint Call (10/27/2020)
10/26/2020
FAQ| D. Order Receipt
D30. Are the material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, required to be reported to CAT?
10/26/2020
FAQ| A. General
A34. Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?
10/26/2020
FAQ| Q. Customer and Account Information
Q38. Why is there a question on the CAT CAIS Registration Form asking for a Legal Entity Identifier (LEI)?

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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