Latest Updates | CATNMSPLAN

09/22/2020
FAQ| Q. Customer and Account Information
Q32. Can production data be used in the CAT CAIS Test environment?
09/22/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.2
09/22/2020
FAQ| Q. Customer and Account Information
Q37. How do the CAT reporting requirements for Large Trader IDs (LTIDs) and Legal Entity Identifiers (LEIs) differ?
09/22/2020
FAQ| B. Reporting Requirements
B7. This FAQ has been retired and archived. Please refer to FAQ I9.
09/22/2020
FAQ| Q. Customer and Account Information
Q33. May an Industry Member leverage a previously established Reporting Relationship for CAIS? For example, if an Industry Member has already authorized a submitter to report transaction data to CAT, must that Industry Member also authorize the same submitter to report data to CAIS?
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
09/16/2020
FAQ| Q. Customer and Account Information
Q6. Are Industry Members required to report large trader identifiers (“LTIDs”) to the CAT and, if so, when?
09/16/2020
Event
Exchange Route Matching Industry Webinar (9/16/20)
09/16/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (9/16/2020)
09/15/2020
Technical Specifications
Industry Member Schema v3.1.0 r6 (2c)
09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)
09/15/2020
Reference Material
Industry Member Schema v2.2.1 r7 (2a/2b)
09/09/2020
FAQ| Q. Customer and Account Information
Q31. When introducing brokers and executing brokers use a separate clearing broker for the accounts of their clients, what are the responsibilities for LTID reporting?
09/09/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r7
09/09/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r6

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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