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Plan Participant Contact List

As a general matter, Industry Members should first contact the FINRA CAT Helpdesk at [email protected] or 888-696-3348 for assistance in identifying and troubleshooting the causes of unlinked events between an Industry Member and a Plan Participant market center. The Plan Participant Contact List below is provided as an additional secondary resource for questions related to the market center’s CAT linkage keys once the unlinked reason has been identified, with the assistance of the FINRA CAT Helpdesk, if necessary. 

Last Updated: 10/23/2020

Plan Participant Linkage Contact Interpretive Contact
BOX Options Exchange [email protected] [email protected]

Cboe Exchanges

  • Cboe Options
  • Cboe BYX Equities
  • Cboe BZX Equities
  • Cboe BZX Options
  • Cboe C2 Options 
  • Cboe EDGA Equities
  • Cboe EDGX Equities
  • Cboe EDGX Options
Cboe Trade Desk
913-815-7001
[email protected]
Cboe Reg Interps
312-786-8141
[email protected]
FINRA OTC Reporting Facility (ORF) and Trade Reporting Facilities (TRFs)

FINRA ORF/TRF Linkage

[email protected]

FINRA ORF/TRF Linkage

[email protected]

Investor's Exchange (IEX) Beth Batiuchok
Regulation Oversight Lead 
646-343-2039
[email protected]
Beth Batiuchok
Regulation Oversight Lead
646-343-2039
[email protected]
Long Term Stock Exchange (LTSE) Primary: Ola Sotoye 
[email protected]
Secondary: Mike Sherry
[email protected]
Primary: Ola Sotoye
[email protected]
Secondary: Mike Sherry
[email protected]
Members Exchange (MEMX) [email protected] [email protected]

MIAX Exchanges

  • MIAX Emerald
  • Miami International Securities Exchange (MIAX)
  • MIAX PEARL Equities
  • MIAX PEARL (Options)
Trading Operations
609-897-7302
[email protected]
Regulatory Questions
609-897-7309
[email protected]

Nasdaq Exchanges

  • The Nasdaq Stock Market
  • Nasdaq Options
  • Nasdaq BX Equities
  • Nasdaq BX Options
  • Nasdaq GEMX
  • Nasdaq ISE
  • Nasdaq MRX
  • Nasdaq PHLX Equities
  • Nasdaq PHLX Options

Equities: [email protected]

Options: [email protected]

Equities: [email protected]

Options: [email protected]

New York Stock Exchanges

  • NYSE American Equities
  • NYSE American Options
  • NYSE ARCA Equities
  • NYSE ARCA Options
  • The New York Stock Exchange 
  • NYSE CHX
  • NYSE National

Equities: [email protected]

Options: [email protected]

Equities: [email protected]

Options:  [email protected]