Latest Updates | CATNMSPLAN

11/15/2018
FAQ| R. Clock Synchronization
R3. Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?
11/15/2018
FAQ| N. Third Party Reporting
N2. If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
11/15/2018
FAQ| O. Technical Requirements
O13. Where can the status of the CAT system be found?
11/15/2018
FAQ| O. Technical Requirements
O12. Can records submitted via the CAT Web Portal be saved?
11/15/2018
FAQ| O. Technical Requirements
O10. Can files be sent to CAT using SFTP via the Internet?
11/15/2018
FAQ| O. Technical Requirements
O8. What are the Web addresses used to transfer CAT data?
11/15/2018
FAQ| O. Technical Requirements
O6. Are back-up circuits required for reporting to CAT via SFTP?
11/15/2018
FAQ| P. Feedback and Error Correction
P15. What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
11/15/2018
FAQ| P. Feedback and Error Correction
P14. If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
11/15/2018
FAQ| P. Feedback and Error Correction
P11. Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?
11/15/2018
FAQ| P. Feedback and Error Correction
P7. Can previously accepted records be deleted?
11/15/2018
FAQ| P. Feedback and Error Correction
P3. If one record in a file is rejected, will the whole file be rejected?
11/15/2018
FAQ| P. Feedback and Error Correction
P2. What will happen if order information is submitted for a security that is not CAT reportable?
11/15/2018
FAQ| P. Feedback and Error Correction
P1. How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?
11/15/2018
FAQ| B. Reporting Requirements
B29. How should an order be identified when the broker (as opposed to the trader) has price and time discretion?

« First
‹ Previous
…
94
95
96
97
98
99
100
101
102
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].