Latest Updates | CATNMSPLAN

06/18/2019
FAQ| D. Order Receipt
D21. What accountHolderType value should be used if the beneficial owner of an account for which an order is received is an employee but the account also meets the definition of an institutional account?
06/18/2019
FAQ| E. Order Routing and Execution
E14. Firm A routes an order to Firm B with instructions to send the order to another member or exchange for execution with specific terms and conditions that the executing venue must follow. Must Firm B report the terms and conditions intended for the executing venue as handling instructions on Firm B’s CAT Order Accepted Event in the handlingInstructions field?
06/18/2019
FAQ| B. Reporting Requirements
B38. Does the requirement that broker-dealers report on actionable indications of interest pursuant to Rule 606, under the Securities Exchange Act of 1934, change what is reportable to CAT?
06/18/2019
FAQ| P. Feedback and Error Correction
P4. When will rejections be available?
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
05/10/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.1
05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0
05/10/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.0
05/02/2019
FAQ| A. General
A27. When does Industry Member testing begin?
05/02/2019
FAQ| A. General
A5. When will Participants begin reporting data to the CAT?

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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