Latest Updates | CATNMSPLAN

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)?
07/17/2020
FAQ| U. Allocations
U4. If the firmDesignatedID (FDID) in the New Order event (MENO) or New Option Order event (MONO) is not required to be the same as the firmDesignatedID in the Post-Trade Allocation event (MEPA) or Option Post-Trade Allocation event (MOPA), how will the events be linked?
07/14/2020
Event
CAT Technical Specification Working Group Q&A - 7/14/20
07/14/2020
Event
Weekly Industry Testing Checkpoint Call (7/14/2020)
07/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.0
07/10/2020
Event
CAT Customer and Account Reporting Requirements and CAIS Technical Specification Overview
07/08/2020
Event
Weekly Industry Testing Checkpoint Call (7/7/2020)
07/01/2020
Event
Weekly Industry Testing Checkpoint Call (6/30/2020)
07/01/2020
FAQ| E. Order Routing and Execution
E3. BD A, an Industry Member CAT Reporter, receives a customer order for 10,000 shares and subsequently routes 2,000 shares of the order to Exchange A, another CAT Reporter. BD A’s trader or trading system subsequently modifies the price of the 2,000 share order routed to Exchange A. Is BD A required to report the modification of the 2,000 share order routed to Exchange A?
07/01/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Certain Verbal Activity on and off Exchange Trading Floors
07/01/2020
FAQ| E. Order Routing and Execution
E8. How should the orderType on the Order Route Event be populated for orders routed as Stop or Stop Limit orders?

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