Latest Updates | CATNMSPLAN

10/05/2021
Event
CAT CAIS Technical Specification Working Group Q&A - October 5, 2021
10/05/2021
FAQ| M. Firm Designated ID
M10. CAT FAQ M2 states acceptable Firm Designated IDs may include, without limitation, a newly created unique identifier or an internal only identifier used by a broker-dealer that cannot be used to effect a transaction, and would not constitute "Customer Account Information" or “Customer Identifying Information” as defined in the CAT NMS Plan. Are there prescribed methodologies for masking account numbers?
10/05/2021
FAQ| M. Firm Designated ID
M2. Can actual account numbers be used as the FDID when submitting data to CAT?
10/05/2021
FAQ| M. Firm Designated ID
M12. Where can I find additional information regarding the Firm Designated Identifier (FDID)?
10/05/2021
FAQ| M. Firm Designated ID
M6. If an Industry Member CAT Reporter uses multiple reporting vendors for both Transaction and Customer and Account reporting, should the same FDID be reported by each vendor on behalf of the Industry Member CAT Reporter?
10/05/2021
FAQ| M. Firm Designated ID
M3. Can a Firm Designated ID (FDID) change each Trading Day?
09/28/2021
Event
Industry Testing Checkpoint Call (September 28, 2021)
09/23/2021
Event
CAT Funding (September 22, 2021)
09/21/2021
FAQ| I. Foreign Securities
I9. If a Reportable Event is priced in a non-U.S. dollar currency, how will such prices be reported to the CAT?
09/21/2021
FAQ| U. Allocations
U22. What are the requirements for clearing firms to report allocations to average price accounts of an Introducing Broker that may be exclusively for a specific client of the Introducing Broker?
09/21/2021
FAQ| K. Options
K20. When must the pairedOrderID be reported to CAT?
09/21/2021
FAQ| K. Options
K19. Which handlingInstructions value should Industry Members populate on option events when the limit price is based on option Greeks or another formula based on market conditions?
09/21/2021
FAQ| A. General
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?
09/21/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v2.1
09/21/2021
FAQ| B. Reporting Requirements
B5. Are all Industry Members required to report NBBO information to the CAT?

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