Latest Updates | CATNMSPLAN

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?
09/08/2020
Event
CAT Technical Specification Working Group Q&A - 9/8/20
09/02/2020
FAQ| I. Foreign Securities
I4. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the market of execution is not known by the end of the CAT Trading day, does the firm have a CAT reporting obligation?
09/02/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (9/2/2020)
09/02/2020
FAQ| I. Foreign Securities
I2. If a firm receives an order in a foreign security that is an OTC Equity Security and routes the order to another broker-dealer who then executes the order in the US, what is the reporting obligation of the routing firm?
09/01/2020
Technical Specifications
Industry Member Reporting Scenarios v2.8
09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
09/01/2020
Reference Material
Industry Member Reporting Scenarios v3.5
08/31/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.1 r1
08/27/2020
FAQ| Q. Customer and Account Information
Q29. Do proprietary trading firms that do not handle customer orders have an obligation to report to CAT CAIS?
08/27/2020
FAQ| U. Allocations
U13. Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
08/27/2020
FAQ| Q. Customer and Account Information
Q23. Do introducing and non-self-clearing executing brokers have CAIS LTID reporting obligations?
08/27/2020
FAQ| I. Foreign Securities
I6. If an order is received under the US symbol of a foreign security that is an OTC Equity Security, and the customer directs that the order only be executed in a foreign market, is this type of directed order required to be reported if the order is not executed by the end of the CAT Trading day?
08/27/2020
FAQ| I. Foreign Securities
I3. If an order in a foreign security that is an OTC Equity Security is broken up and executed across multiple markets, i.e., part of the order is executed in the US and part of the order is executed and reported in the foreign market, what are the CAT reporting obligations?
08/27/2020
FAQ| Q. Customer and Account Information
Q30. Where can I find more information on the SEC Large Trader Requirements?

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