Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B19. Is a Cancel Report required for an unexecuted IOC (Immediate or Cancel) or FOK (Fill or Kill)?
11/15/2018
FAQ| B. Reporting Requirements
B18. What are the reporting requirements for orders received or initiated by a market maker?
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| A. General
A24. Is CAT a real-time system?
11/15/2018
FAQ| E. Order Routing and Execution
E23. Is the TRF reported Branch/Sequence Number or FINRA Compliance Number required to be unique within an IMID (e.g. MPID) within a day?
11/15/2018
FAQ| E. Order Routing and Execution
E19. When a broker-dealer routes an order to an Industry Member, the routing broker-dealer may not include the special handling details associated with the original customer order as received by the routing broker-dealer. Are these original special handling details expected to be reported by subsequent Industry Members to which the order is routed?
11/15/2018
FAQ| E. Order Routing and Execution
E22. If a trade is reported on an “as of “basis to the TRF, what are the CAT reporting requirements?
11/15/2018
FAQ| B. Reporting Requirements
B13. Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?
11/15/2018
FAQ| E. Order Routing and Execution
E21. If a trade is corrected in a TRF, what must be reported to CAT?
11/15/2018
FAQ| E. Order Routing and Execution
E20. What are the CAT reporting requirements when a trade that was reported to a TRF is cancelled?
11/15/2018
FAQ| F. Representative Orders
F4. BD A receives orders from four separate customers totaling 10,000 shares, all with instructions to handle as agent. BD A sends one larger order, properly marked as agency, to a Participant exchange or another market center in an attempt to obtain an execution for these four orders. BDA holds the individual customer orders and never gives up control of these orders to any other broker-dealer or market center. Upon receipt of an execution of the larger order, the shares are recorded in my firm's agency allocation account. Subsequently, BDA allocates the shares from the agency allocation account to the individual customer accounts based upon a predetermined allocation methodology. How should these orders and related executions be reported to CAT?
11/15/2018
FAQ| E. Order Routing and Execution
E11. At 8:30:00:000 a.m., BD1 receives a market-on-open customer order and guarantees the opening price. At 9:30:00.000 a.m., the market opens, and, at 9:35:00.000 a.m., BD1 receives the opening price information and executes the trade. What execution time should be used in the CAT Trade Event and related trade report?
11/15/2018
FAQ| E. Order Routing and Execution
E7. Executed orders that exceed 100 million shares must be reported to the ORF in two or more transaction reports because the OTC Trade Reporting Facility (ORF) will not accept trades that exceed 99,999,999 shares. Can a single CAT Trade Event be matched to more than one ORF trade report?
11/15/2018
FAQ| P. Feedback and Error Correction
P14. If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
11/15/2018
FAQ| P. Feedback and Error Correction
P11. Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?

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
X. Reference Database
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
X. Reference Database
All Topics