Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
Reporter Portal

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

All Topics

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

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Dec

01

Monthly CAIS/LTID Industry Testing Checkpoint Call (December...

04:15PM EST

Add To My Calendar

Displaying 1 - 10 of 1038 results

Filter by Content Type

Filter by Topic

All Topics

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

Sort by

Order

12/01/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r7
12/01/2021
Event
Industry Testing Checkpoint Call (November 30, 2021)
- Industry Testing Checkpoint Call (November 30, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/30/2021
Reference Material
Phase 2d Coordinated Industry Test- IMID List- 11/26/21
11/30/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r8
11/30/2021
FAQ
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?

Topics

B. Reporting Requirements
11/30/2021
FAQ
F7. What is the difference between order level linkage and fulfillment level linkage on a representative order?

Topics

F. Representative Orders
11/30/2021
FAQ
F6. Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?

Topics

F. Representative Orders
11/30/2021
FAQ
F5. Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?

Topics

F. Representative Orders
11/24/2021
Technical Specifications
Transition Support: Schema Changes to Existing Phase 2c Events v1.3

Topics

B. Reporting Requirements
11/23/2021
Technical Specifications
CAIS Submission Inconsistencies Feedback Schema

Pagination

1
2
3
4
5
6
7
8
9
…
Next ›
Last »

Need Help?

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

2020 FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy