Latest Updates | CATNMSPLAN

03/12/2020
FAQ| M. Firm Designated ID
M15. What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?
03/11/2020
Event
Weekly Industry Testing Checkpoint Call (3/10/2020)
03/09/2020
Basic page
Clock Synchronization
03/05/2020
Event
Industry Webinar - Production Readiness Testing (3/4/2020)
03/04/2020
Event
Weekly Industry Testing Checkpoint Call (3/3/2020)
02/27/2020
Event
Weekly Industry Testing Checkpoint Call and CAT Reporter Portal Demo (2/25/2020)
02/27/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID
02/26/2020
Technical Specifications
Participant Technical Specifications v3.0.1
02/25/2020
FAQ| O. Technical Requirements
O14. Can a CAT Reporter share its CAT connectivity with other affiliated CAT Reporters or affiliated CAT Reporting Agents?
02/25/2020
Technical Specifications
Industry Member Technical Specifications (2c) v3.1
02/25/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1 (Redlined)
02/25/2020
FAQ| D. Order Receipt
D31. What accountHolderType value should be used if the beneficial owner of an account is a non-broker-dealer foreign affiliate or non-reporting foreign broker-dealer, but the beneficial owner also meets the definition of another accountHolderType value (e.g., institution)?
02/24/2020
Governance
CAT System Terms of Use
02/21/2020
Technical Specifications
02/21/2020
Basic page
Transaction Registration & Onboarding

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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