- The Self-Reporting Erroneous Events Form is used to self-report data issues in both the CAT Transaction and Reference Database sub-systems, including erroneously reported events, non-reporting and any errors in reporting that may not be identified in the Feedback and Corrections process. Repairs, Corrections and Deletions submitted by the error correction deadline (8:00 am ET on T+3 for CAT Transaction errors and 5:00 pm ET on T+3 for Reference Database errors) should not be reported to FINRA CAT on this form. CAT Reporters can submit Part I of this form upon discovery of the erroneous reporting and provide supplemental information in Part II of this form as it becomes available. Forms should be emailed to the FINRA CAT Helpdesk ([email protected]) and must include a reference to "Erroneous Events Self-Report" in the subject line.
This form is for self-reporting deviations of clock synchronization consistent with the standards as detailed in
(Standards For Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT). The completed self-reporting form should be emailed to the FINRA CAT Helpdesk ([email protected]) and must include a reference to “Clock Sync Self-Report” in the subject line.
- This form is for certification regarding Business Clock Synchronization. The CAT compliance rule series requires each Industry Member to certify that its Business Clocks satisfy the synchronization requirements described herein periodically in accordance with the certification schedule established by the Operating Committee of the CAT NMS Plan. The Operating Committee determined that such certifications should be made annually. Accordingly, as previously expressed to the industry, Industry Members must complete a certification in the form attached hereto that covers all Business Clocks by March 15 of each year.
- This form is for the purpose of complying with FINRA Rule 6830 for the purpose of CAT reporting. FINRA Rule 6830, requires ATSs using an alternative NBBO feed from what was reported on its ATS data submission to notify the Central Repository of the fact that an alternative source was used, identify the alternative source, and specify the date(s), time(s) and securities for which the alternative source was used. Industry Members should submit this form to FINRA CAT Helpdesk via email at [email protected].