Latest Updates | CATNMSPLAN

07/29/2020
Event
CAT Compliance Industry Webinar (7/29/2020)
07/29/2020
Event
Weekly Industry Testing Checkpoint Call (7/28/2020)
07/28/2020
FAQ| E. Order Routing and Execution
E30. Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this apply if the trade is reversed in the FINRA Facility on a subsequent day?
07/27/2020
Technical Specifications
Customer and Account Status File Schema v1.0.0 (JSON)
07/23/2020
Event
Interfirm Linkage Overview (7/22/2020)
07/22/2020
Governance
CAT Implementation Plan
07/21/2020
Event
Weekly Industry Testing Checkpoint Call (7/21/2020)
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List
07/17/2020
FAQ| U. Allocations
U11. My firm’s allocations typically occur around 10 pm ET. Is my firm required to report the Post-Trade Allocation events (MEPA) and Option Post-Trade Allocation events (MOPA) by 8 am the next day?
07/17/2020
FAQ| U. Allocations
U5. Are allocations to a firm owned or controlled account required to be reported? For example, a registered representative of a self-clearing broker-dealer exercises discretion over multiple retail customer accounts and originates a single aggregated order that will be allocated to the specific customer accounts post trade. Shares are booked to a firm average price account until the sub-account allocations are made to the individual customer accounts.
07/17/2020
FAQ| U. Allocations
U12. In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?
07/17/2020
FAQ| U. Allocations
U6. Are allocations to DVP accounts required to be reported? For example, an institution places an order with an executing broker-dealer and gives instructions to DVP the shares to two different custodial broker-dealers.
07/17/2020
FAQ| U. Allocations
U3. When an order is placed directly in a customer account, is the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA)?
07/17/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0 r1
07/17/2020
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) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].