Latest Updates | CATNMSPLAN

11/15/2018
FAQ| B. Reporting Requirements
B31. Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
11/15/2018
FAQ| G. Manual Orders
G3. What does the manualFlag field represent?
11/15/2018
FAQ| G. Manual Orders
G2. Are orders received via the telephone and then manually entered into a clearing firm's system considered electronic?
11/15/2018
FAQ| H. ATS
H7. Is the handlingInstructions field required to be populated by ATSs when the atsOrder Type includes a condition that is also an allowable handlingInstruction value, such as Add Liquidity Only?
11/15/2018
FAQ| H. ATS
H6. How should an ATS report NBBO (or other relevant reference price) information if the NBBO is invalid or one sided at the time the ATS referenced the NBBO (or other relevant reference price)?
11/15/2018
FAQ| H. ATS
H2. Must a FINRA member ATS use its ATS MPID to report ATS activity to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B32. How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
11/15/2018
FAQ| B. Reporting Requirements
B33. How should a fractional number of shares as leavesQty be reported?
11/15/2018
FAQ| B. Reporting Requirements
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
11/15/2018
FAQ| B. Reporting Requirements
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
11/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
11/15/2018
FAQ| B. Reporting Requirements
B36. How should prices (including fractions) be recorded in CAT?
11/15/2018
FAQ| C. Definitions
C3. What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
11/15/2018
FAQ| N. Third Party Reporting
N4. Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
11/15/2018
FAQ| B. Reporting Requirements
B16. Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?

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