Latest Updates | CATNMSPLAN

11/15/2018
FAQ| G. Manual Orders
G3. What does the manualFlag field represent?
11/15/2018
FAQ| C. Definitions
C3. What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
11/15/2018
FAQ| B. Reporting Requirements
B17. Is CAT data required to be maintained in a format that could be resubmitted to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B36. How should prices (including fractions) be recorded in CAT?
11/15/2018
FAQ| B. Reporting Requirements
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
11/15/2018
FAQ| D. Order Receipt
D16. If a firm does not receive specific instructions from its customer as to which session an order may trade, and the firm does not otherwise communicate to the customer that the order will only be traded during specific market sessions, what should be populated in the tradingSession field?
11/15/2018
FAQ| B. Reporting Requirements
B33. How should a fractional number of shares as leavesQty be reported?
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| B. Reporting Requirements
B31. Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B29. How should an order be identified when the broker (as opposed to the trader) has price and time discretion?
11/15/2018
FAQ| B. Reporting Requirements
B26. Does a CRD Number qualify as an SRO assigned identifier that can be used as an IMID in cases where a non FINRA member does not have an SRO assigned identifier?
11/15/2018
FAQ| B. Reporting Requirements
B25. What are the CAT reporting requirements for a proprietary trading firm?
11/15/2018
FAQ| B. Reporting Requirements
B24. Are the ALO (Add Liquidity Only), OPO (Opt Out of Locked Market) and STP (Self Trade Prevention) handlingInstructions required to be reported for orders not received by an ATS?
11/15/2018
FAQ| B. Reporting Requirements
B22. What are the CAT reporting obligations when one Industry Member provides sponsored access to another Industry Member?
11/15/2018
FAQ| B. Reporting Requirements
B20. What are the CAT reporting obligations when providing sponsored access or direct market access to non-BD clients?

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