Transaction Registration & Onboarding

This webpage provides information for CAT Reporters on how to gain access to the CAT Test, Production and Production Mirror environments for the first time. Industry Members and CAT Reporting Agents that report to CAT on behalf of Industry Members must complete all onboarding steps to gain access to CAT, including:

1. Register for CAT. 
2. Refer to the FINRA CAT Industry Member Onboarding Guide​ for the remaining onboarding steps.

Upon completion of Registration & Onboarding, access to the CAT Production environment will be authorized.

Questions

Questions related to this document may be directed to the FINRA CAT Helpdesk at 888-696-3348 or at [email protected].

Resources

• CAT System Terms of Use (October 2019) – View or print the terms of use which appear on the login page of participating CAT applications
• FINRA CAT Connectivity Supplement for Industry Members v1.17
• IM Reporter Portal User Guide v1.6
• Small Firm Roadmap

Industry Communications

• Industry Update on Consolidated Audit Trail Registration – Recording
• Industry Update on Consolidated Audit Trail Registration – Presentation
• CAT Alert 2019-01 – Alternative Trading System (“ATS”) Order Type Identifier Registration

Forms

• CAT Reporter Agreement (DocuSign Link) (Updated 5/24/2023)
• CAT Reporter Agreement (PDF for reference)
• CAT Reporter Agreement (Redlined PDF for reference)
• CAT Reporting Agent Agreement (DocuSign Link) (Service Bureaus only) (Updated 5/24/2023)
• CAT Reporting Agent Agreement (PDF for reference)
• CAT Reporting Agent Agreement (Redlined PDF for reference)
• FINRA Entitlement Program
  • New Organization Super Account Administrator Entitlement Form
  • CAT Account Administrator Entitlement Form (Service Bureaus only)
  • CAT Entitlement Secure File Transfer Protocol (SFTP) Account Industry Members and CAT Reporting Agents
• ATS NBBO Source Change Form
  • 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. Consistent with FINRA Rule 6830, for the purpose of CAT reporting, Industry Members should submit this form