Latest Updates | CATNMSPLAN

11/15/2018
FAQ| P. Feedback and Error Correction
P15. What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
11/15/2018
FAQ| D. Order Receipt
D11. What is the purpose of the tradingSession field?
11/15/2018
FAQ| B. Reporting Requirements
B15. Does the CAT NMS Plan supersede Rule 17a-3?
11/15/2018
FAQ| B. Reporting Requirements
B32. How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
11/15/2018
FAQ| N. Third Party Reporting
N3. May an Industry Member use more than one third party to transmit data on its behalf to CAT?
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
10/30/2018
FAQ| C. Definitions
C1. How has the Operating Committee defined “Trading Day”?
10/30/2018
FAQ| K. Options
K3. Are responses to auctions reportable in Phase 2b?
10/30/2018
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.0
10/30/2018
Technical Specifications
Industry Member Reporting Scenarios v1.0
10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)
10/17/2018
FAQ| N. Third Party Reporting
N1. Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?
09/11/2018
FAQ| B. Reporting Requirements
B10. How should Industry Members report transactions involving fractional shares to the CAT?

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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