CAT Alert – 2023-02: CAT Billing

This CAT Alert describes how FINRA CAT, LLC, as the Plan Processor acting on behalf of CATLLC, will calculate applicable fees, issue invoices to and collect payment from CAT Executing Brokers.

CAT Alert 2023-02 - CAT Billing

05.08.26-CAT-Alert-2023-02.pdf

Thu, 10/12/2023 - 00:00

Thu, 10/12/2023 - 12:00

Fri, 05/08/2026 - 12:00

Need Help?

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

Announcement
CAT Alert
Event
FAQ
other
Reference Material
Timeline Activity

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
X. Reference Database
All Topics

Announcement
CAT Alert
Event
FAQ
other
Reference Material
Timeline Activity

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
X. Reference Database
All Topics