Latest Updates | CATNMSPLAN

04/21/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r2
04/21/2020
Event
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)
04/21/2020
CAT Alert
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
04/14/2020
FAQ| B. Reporting Requirements
B8. How should an Industry Member report timestamps to the CAT if its order handling and order execution systems use different timestamp increments?
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers
04/14/2020
FAQ| B. Reporting Requirements
B2. What are the timestamp requirements for reporting information to the CAT?
04/14/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID
04/09/2020
Event
CAT Technical Specification Working Group Q&A - 4/9/20
04/08/2020
Event
Weekly Industry Testing Checkpoint Call (4/7/2020)
04/08/2020
Governance
SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity
04/08/2020
FAQ| B. Reporting Requirements
B48. If an Industry Member manually initiates a proprietary equities order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
04/07/2020
FAQ| D. Order Receipt
D4. A registered representative of BD A, an Industry Member CAT Reporter, creates an order for 10,000 shares that he later plans to allocate to 10 customer accounts for which he has trading discretion. What are the CAT reporting obligations for BD A for the 10,000 share order created by the registered representative?
04/07/2020
FAQ| N. Third Party Reporting
N6. If an Industry Member introducing firm uses a third party service bureau’s system, such as an Order Management System, provided by its clearing firm and the third party service bureau transmits data to CAT on behalf of the introducing firm, must there be a reporting agreement between the introducing firm and third party vendor?
04/07/2020
Technical Specifications
Industry Member Reporting Scenarios (2c) v3.1

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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