Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

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

V. CAT Billing

Sort by

Order

Subscribe

P. Feedback and Error Correction

This section provides information related to CAT file and data submission feedback and the error correction process.

UPCOMING EVENT

May

08

CAIS Industry Testing Checkpoint Call (May 8, 2024)

04:15PM EDT

Add To My Calendar

Displaying 91 - 100 of 269 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

V. CAT Billing

Sort by

Order

03/09/2022
Event
CAIS Industry Testing Checkpoint Call (March 9, 2022)
- CAIS Industry Testing Checkpoint Call (March 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/23/2022
Event
CAIS Industry Testing Checkpoint Call (February 23, 2022)
- CAIS Industry Testing Checkpoint Call (February 23, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/16/2022
Event
Monthly CAT Update (February 16, 2022)
- Monthly CAT Update (February 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/09/2022
Event
Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022)
- Monthly CAIS Industry Testing Checkpoint Call (February 9, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
02/03/2022
Event
CAT Processing Update (February 2, 2022)
- CAT Processing Update (2.02.22) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
- Monthly CAT Update (January 19, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
- Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
- Industry Testing Checkpoint Call (December 21, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

Pagination

« First
‹ Previous
…
6
7
8
9
10
11
12
13
14
…
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