Latest Updates | CATNMSPLAN

09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
09/02/2015
Governance
Approval Order of Exemptive Request Letter
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)
Reference Material
Q3 2020 QPR Updated
Timeline Activity
Production Go-Live for Equities 2c reporting requirements
Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Last Day for Interim Reporting Obligation 3
Timeline Activity
Production Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
CAT Reporter Portal User Guide Published for Industry Test Release 1.1 (November 18 functionality)
Release 1 - File Submission and Data Integrity Validations
Announcement
2019 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC
Reference Material
Proposed CAT NMS Plan Amendment Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement (12/18/2020)

Need Help?

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