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Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a monthly Industry Testing Checkpoint Calls for CAIS/LTID on Wednesday, February 3, 2021 at 4:15 pm ET.

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.

On Tuesday, January 19, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host part two of an industry webinar focused on the transition from Phase 2a/2b to Phase 2c CAT reporting as it relates to schema changes, timing and other related issues.

We will then transition into the regularly scheduled Weekly Industry Testing Checkpoint Call. 

The answer is divided into two sections: one section for verbal or manual bids or offers and one section for electronic bids or offers.

No.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on January 7, 2020 until further notice. The events will be held at 4:15 pm ET.

Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. The presentation document and recording will be posted.

The CAT reporting requirements depend on what reporting error(s) the Industry Member made as well as whether the FINRA Facility allows a trade report to be corrected without cancelling the original trade report. The different FINRA Facilities have different functionality with regards to correcting and cancelling trade reports. For more information on reporting cancellations, corrections, and reversals to the TRF/ADF/ORF, see Section 311 of FINRA’s Trade Reporting FAQs.