Latest Updates | CATNMSPLAN

05/08/2026
Technical Specifications
CAT Technical Specifications for Billing Trade Details v1.3
05/08/2026
FAQ| A. General
A11. How does the CAT funding model set forth in the CAT NMS Plan work?
05/08/2026
FAQ| M. Firm Designated ID
M13. Does a Firm Designated ID apply to a trading account or to a Customer? Certain provisions in the CAT NMS Plan refer to Firm Designated IDs for Customers.
05/08/2026
CAT Alert
CAT Alert 2023-02 - CAT Billing
05/08/2026
FAQ| V. CAT Billing
V10. When will the first CAT invoices be issued under the CAT Funding Model approved by the Commission in 2026?
05/08/2026
FAQ| V. CAT Billing
V29. How do Prospective CAT Fees operate to provide continuous funding for the CAT?
05/08/2026
FAQ| U. Allocations
U7. Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO)/ Multi-Leg New Order (MLNO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
05/08/2026
Technical Specifications
Reference Database Technical Specifications v2.4.0 (Redlined)
05/08/2026
FAQ| V. CAT Billing
V4. How is a CAT Executing Broker’s CAT fee calculated?
05/08/2026
Reference Material
CAT Billing Scenarios v1.1.4 (Clean)
05/08/2026
FAQ| V. CAT Billing
V1. How is the cost of the CAT being funded?
05/08/2026
Basic page
Reference Database Known Issues List
05/08/2026
FAQ| M. Firm Designated ID
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?
05/07/2026
CAT Alert
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration
05/05/2026
FAQ| X. Reference Database
X14. How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?

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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