Latest Updates | CATNMSPLAN

04/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.2
04/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r2
04/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.11
04/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r12
04/01/2021
Announcement
Response to Comment Letters Regarding the Proposed Amendment to Revise the CAT Reporter Agreement and CAT Reporting Agent Agreement
04/01/2021
Reference Material
Response to Comments Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement
03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
03/31/2021
Reference Material
Plan Amendment Related to Revised Funding Model 3/31/21
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
03/24/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r1
03/23/2021
Event
Industry Member Report Card – Reporting Scenario Examples (March 23, 2021)
03/23/2021
FAQ| A. General
A33. Are order events occurring prior to an IPO symbol’s inclusion on the CAT Reportable Securities List reportable to CAT in Phase 2a?
03/23/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.1 (Clean)
03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
03/12/2021
FAQ| B. Reporting Requirements
B69. How should the price and eventTimestamp fields be populated on a New Order event (MENO)/ Order Accepted event (MEOA) for a trade priced at the Net Asset Value (NAV) if the price is not known until after 4:15:00 pm ET on the date of origination/receipt?

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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
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
All Topics