Latest Updates | CATNMSPLAN

11/15/2018
FAQ| D. Order Receipt
D18. Is the tradingSession field required to be populated for proprietary orders originated by the firm and where no customer instruction is received?
11/15/2018
FAQ| H. ATS
H2. Must a FINRA member ATS use its ATS MPID to report ATS activity to CAT?
11/15/2018
FAQ| H. ATS
H6. How should an ATS report NBBO (or other relevant reference price) information if the NBBO is invalid or one sided at the time the ATS referenced the NBBO (or other relevant reference price)?
11/15/2018
FAQ| H. ATS
H7. Is the handlingInstructions field required to be populated by ATSs when the atsOrder Type includes a condition that is also an allowable handlingInstruction value, such as Add Liquidity Only?
11/15/2018
FAQ| D. Order Receipt
D17. How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?
11/15/2018
FAQ| D. Order Receipt
D11. What is the purpose of the tradingSession field?
11/15/2018
FAQ| D. Order Receipt
D9. For orders received electronically from another CAT Reporter, must the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?
11/15/2018
FAQ| B. Reporting Requirements
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
11/15/2018
FAQ| E. Order Routing and Execution
E17. When a firm has multiple functions performed on the same desk or within the same department, how does the firm determine which receivingDeskType to use in the CAT Internal Route Event for orders received by such multi-function desks?
11/15/2018
FAQ| B. Reporting Requirements
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?
11/15/2018
FAQ| E. Order Routing and Execution
E16. A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?
11/15/2018
FAQ| E. Order Routing and Execution
E15. Are executions of orders routed as agent to an exchange or another CAT Reporter required to be reported by the routing firm?
11/15/2018
FAQ| E. Order Routing and Execution
E12. At 8:30:00 a.m., Member BD1 executes a customer order at the 4:00:00 p.m. closing price from the previous day. What execution time should be used in the CAT Trade Event and related trade report?
11/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
11/15/2018
FAQ| R. Clock Synchronization
R3. Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?

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