Latest Updates | CATNMSPLAN

06/15/2017
Reference Material
Expansion Report
06/15/2017
FAQ| R. Clock Synchronization
R4. When during the day should clocks be synchronized?
05/22/2017
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (5/22/2017)
01/11/2017
Governance
SEC Approved CAT NMS Plan Amended to Include MIAX Pearl (1/11/2017)
11/15/2016
Governance
SEC Approved CAT NMS Plan (11/15/2016)
05/17/2016
Governance
SEC Notice of Filing of the Consolidated Audit Trail National Market System Plan and Request for Comment
03/24/2016
Governance
CAT NMS Plan Security Requirements - Architecture, Program and Data Usage Controls (3/24/2016)
02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission
09/02/2015
Governance
Approval Order of Exemptive Request Letter
09/02/2015
FAQ| Q. Customer and Account Information
Q2. Are CAT Reporters required to report Customer-IDs to the CAT?
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
01/30/2015
FAQ| Q. Customer and Account Information
Q5. What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?

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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