Latest Updates | CATNMSPLAN

06/18/2019
FAQ| E. Order Routing and Execution
E24. Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?
06/18/2019
FAQ| O. Technical Requirements
O11. Who do I contact if I need to change the configuration of my connection to the private network?
06/18/2019
FAQ| D. Order Receipt
D25. How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
05/10/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.0
05/10/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.1
05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0
05/02/2019
FAQ| A. General
A27. When does Industry Member testing begin?
05/02/2019
FAQ| A. General
A5. When will Participants begin reporting data to the CAT?
04/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.0

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].