Latest Updates | CATNMSPLAN

09/11/2023
FAQ| B. Reporting Requirements
B43. Are verbal and manual quotes subject to the reporting requirements of Phases 2a, 2b, 2c or 2d?
09/11/2023
FAQ| B. Reporting Requirements
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?
09/11/2023
FAQ| J. OTC Equity Securities
J6. What are the reporting requirements for quotes entered directly into OTC Link IDQS via OTC Link IDQS’s Dealer Application?
09/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023)
09/05/2023
Technical Specifications
CAIS TIDS Feedback Schema
09/05/2023
Technical Specifications
CAIS Data Feedback Schema
09/05/2023
Technical Specifications
CAIS Data File Schema
09/05/2023
Technical Specifications
CAIS TIDS Schema
08/22/2023
Event
CAT CAIS Technical Specifications Working Group - August 22, 2023
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

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