Latest Updates | CATNMSPLAN

08/01/2019
Event
CAT Technical Specification Working Group Q&A - 8/1/2019
07/31/2019
Technical Specifications
Industry Member Reporting Scenarios v2.2
07/31/2019
FAQ| N. Third Party Reporting
N5. Are Industry Members that report to CAT using a third-party vendor that submits reportable data to the CAT using a private line connection required to transmit their CAT reportable data to the third party vendor via a private line connection?
07/31/2019
FAQ| B. Reporting Requirements
B41. How should an Industry Member report to the CAT orders filled by the Industry Member from its inventory, rather than through the generation of a proprietary order to execute against the order?
07/31/2019
FAQ| B. Reporting Requirements
B40. CAT FAQs B3 and B38 state that IOIs, RFQs and other forms of non-firm expressions of trading interest are not reportable to CAT. What factors should a firm consider when determining whether trading interest, regardless of the label attached to it, is reportable to CAT?
07/18/2019
Event
In-person Consolidated Audit Trail Options Deep Dive July 16, 2019 in Philadelphia
07/17/2019
FAQ| C. Definitions
C7. Are orders received or routed via instant message (IM) or email considered “manual” or “electronic” for purposes of reporting to the CAT?
06/25/2019
Technical Specifications
Industry Member Schema v2.2 (2a/2b)
06/24/2019
FAQ| O. Technical Requirements
O2. What access methods are available to Industry Members to report to CAT?
06/24/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2
06/24/2019
Technical Specifications
Industry Member Reporting Scenarios v2.1
06/18/2019
FAQ| P. Feedback and Error Correction
P9. For what reasons are records rejected by CAT?
06/18/2019
FAQ| M. Firm Designated ID
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?
06/18/2019
FAQ| C. Definitions
C4. The affiliateFlag requires the designation of an affiliate. How should CAT Reporters determine who is an "affiliate" for these purposes?
06/18/2019
FAQ| J. OTC Equity Securities
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?

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