Latest Updates | CATNMSPLAN

05/19/2020
Event
Weekly Industry Testing Checkpoint Call (5/19/2020)
05/19/2020
FAQ| Q. Customer and Account Information
Q9. What is an Unidentified Large Trader ID (ULTID) and are all Industry Members required to report ULTIDs to CAT CAIS?
05/19/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.2
05/19/2020
CAT Alert
CAT Alert 2020-01 - Industry Member Test Plan
05/18/2020
CAT Alert
05/15/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r3
05/15/2020
Reference Material
Industry Member Technical Specifications (2a/2b) v2.2.1 r5 (Redlined)
05/15/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r5
05/13/2020
Event
Weekly Industry Testing Checkpoint Call (5/12/2020)
05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement
05/07/2020
Event
CAT Technical Specification Working Group Q&A - 5/7/20
05/05/2020
FAQ| B. Reporting Requirements
B39. Are transfers of positions between accounts within the same legal entity reportable to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B50. Is the conversion of a convertible bond to an equity required to be reported to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B51. Are ETF creations and redemptions required to be reported to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B52. Are American Depository Receipt (ADR) creations and cancellations required to be reported to CAT?

« First
‹ Previous
…
65
66
67
68
69
70
71
72
73
…
Next ›
Last »

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