Industry Member Specifications | CATNMSPLAN

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Phase 2a/2b Specifications

05/18/2020 Industry Member Technical Specifications (2a/2b) v2.2.1 r5

04/21/2020 Order Routing Field Mapping between CAT and Exchanges

05/19/2020 Industry Member Test Environment Known Issues List

05/12/2020 Planned Industry Member Technical Specification Updates

05/15/2020 Industry Member Technical Specifications (2a/2b) v2.2.1 r5 (Redlined)

04/21/2020 Industry Member Technical Specifications (2a/2b) v2.2.1 r4

01/31/2020Industry Member Technical Specifications (2a/2b) v2.2.1 r3

12/09/2019Industry Member Technical Specifications (2a/2b) v2.2.1 r2

10/30/2019Industry Member Technical Specifications (2a/2b) v2.2.1 r1

08/30/2019Industry Member Technical Specifications (2a/2b) v2.2.1

06/24/2019Industry Member Technical Specifications (2a/2b) v2.2

05/10/2019Industry Member Technical Specifications (2a/2b) v2.1

04/29/2019Industry Member Technical Specifications (2a/2b) v2.0

03/29/2019Industry Member Technical Specifications (2a/2b) v1.1 Draft 2

02/28/2019Industry Member Technical Specifications (2a/2b) v1.1 Draft 1

10/30/2018Industry Member Technical Specifications (2a/2b) v1.0

Phase 2c Specifications

05/15/2020 Industry Member Technical Specifications (2c) v3.1.0 r3

05/18/2020 Archived Change Log - CAT Reporting Technical Specifications for Industry Members v2.2.1 r5

05/15/2020 Industry Member Technical Specifications (2c) v3.1.0 r3 (Redlined)

04/21/2020 Industry Member Technical Specifications (2c) v3.1.0 r2

04/02/2020 Industry Member Technical Specifications (2c) v3.1.0 r1

02/25/2020Industry Member Technical Specifications (2c) v3.1

01/31/2020Industry Member Technical Specifications (2c) v3.0 FINAL

12/09/2019Industry Member Technical Specifications (2c) v3.0 Draft 2

11/01/2019Industry Member Technical Specifications (2c) v3.0 Draft 1

OATS To CAT Field Level Mapping

05/23/2019OATS To CAT Field Level Mapping v2

09/05/2018OATS To CAT Field Level Mapping v1

CAT CAIS Specifications

04/21/2020 CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1

04/21/2020 CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.1 (Redlined)

01/31/2020CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.0

12/13/2019CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.0 Draft

JSON Schemas

02/21/2020Industry Member Schema v2.2.1

04/07/2020 Industry Member Schema v3.1.0 (2c)

02/11/2020Customer and Account Industry Member Submission Schema v1.0.0

02/11/2020Customer and Account Status File Schema v1.0.0

06/25/2019Industry Member Schema v2.2

05/23/2019Industry Member Schema v2.1

Technical Specifications-Addendum for Industry Members Operating an IDQS

05/08/2020 Technical Specifications for Inter-dealer Quotation Systems

Need Help?

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