Planned Reference Database Technical Specification Updates

Planned Reference Database Technical Specification Updates

Last Updated: 04/01/2026

#	Status	Summary	Publish Date	Spec Version	Effective Date Test	Effective Date Prod/Prod Mirror
1	UPDATED- Open	Add Error Code 22078: Duplicate role for Customer within the fdidCustomerList- A Customer present in the fdidCustomerList must not have duplicate role values.	3/27/2026	2.3.0	Phase 1B: 09/28/2026	Phase 1B: 12/07/2026
2	NEW- Open	Changes to conform with the March 27, 2026 SEC Order Approving Proposed Amendment: Update the Include Key to "O" (Optional) for Phase 1A in Table 7 (these fields will be removed from the schema in Phase 1B): largeTraderList largeTraderRecordID largeTraderID ltidEffectiveDate ltidEndDate ltidEndReason lei Update other guidance related to the reporting requirements for Large Trader ID (LTID)/Unidentified Large Trader ID (ULTID) and plaintext LEI	TBD	2.4.0	Phase 1A: 06/29/2026 Phase 1B: 09/28/2026	Phase 1A: 07/27/2026 Phase 1B: 12/07/2026

#

Status

Summary

Publish Date

Spec Version

Effective Date Test

Effective Date Prod/Prod Mirror

1

UPDATED- Open

Add Error Code 22078: Duplicate role for Customer within the fdidCustomerList- A Customer present in the fdidCustomerList must not have duplicate role values.

3/27/2026

2.3.0

Phase 1B: 09/28/2026

Phase 1B: 12/07/2026

2

NEW- Open

Changes to conform with the March 27, 2026 SEC Order Approving Proposed Amendment:

Update the Include Key to "O" (Optional) for Phase 1A in Table 7 (these fields will be removed from the schema in Phase 1B):
- largeTraderList
- largeTraderRecordID
- largeTraderID
- ltidEffectiveDate
- ltidEndDate
- ltidEndReason
- lei
Update other guidance related to the reporting requirements for Large Trader ID (LTID)/Unidentified Large Trader ID (ULTID) and plaintext LEI

TBD

2.4.0

Phase 1A: 06/29/2026

Phase 1B: 09/28/2026

Phase 1A: 07/27/2026

Phase 1B: 12/07/2026

*Planned Technical Specification Updates are subject to approval by the CAT NMS Plan Operating Committee.

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