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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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls for CAIS/LTID every Wednesday at 4:15 pm ET beginning on August 26, 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.

On Wednesday, July 29, 2020 at 10 am ET, regulatory staff from the SROs and FINRA CAT, LLC will host an industry webinar focusing on the regulatory landscape for Industry Member CAT compliance and the respective roles of FINRA CAT, the Plan Participants and the SROs as regulators.

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

Yes.  FINRA rules and FINRA Facility system validations require that firms refer to the original trade report in the report of the reversal by including the control number assigned to the original report by the FINRA Facility and the original report date.  Because the reversal is linked by reference to the original trade, the Industry Member is not required to report the reversal to CAT by deleting the original MEOT.  The FINRA Facility Data reported to CAT by FINRA will be the source of the reversal.

If the correction is reported to the FINRA Facility without cancelling the original trade report (and thus the corrected trade is linked by reference to the original trade), the Industry Member is not required to also report the correction to CAT.  The FINRA Facility Data reported to CAT by FINRA will be the source of the trade correction.