Latest Updates | CATNMSPLAN

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
B20. What are the CAT reporting obligations when providing sponsored access or direct market access to non-BD clients?
11/15/2018
FAQ| O. Technical Requirements
O8. What are the Web addresses used to transfer CAT data?
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| 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?
09/05/2018
Technical Specifications
OATS To CAT Events Field Level Mapping v1
08/15/2018
FAQ| M. Firm Designated ID
M5. Which FDID must be provided for firm owned or controlled accounts?
08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)

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