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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

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R. Clock Synchronization

This topic includes information related to the requirements for synchronization of business clocks.

Displaying 1 - 10 of 15 results

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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

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Order

01/03/2023
Announcement
2023 Annual Clock Synchronization Certification

Topics

R. Clock Synchronization
01/04/2022
Announcement
2022 Annual Clock Synchronization Certification

Topics

R. Clock Synchronization
02/02/2021
Reference Material
Annual Clock Synchronization Certification Form (2021)

Topics

R. Clock Synchronization
10/19/2020
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT

Topics

R. Clock Synchronization
06/10/2020
Event
Self Reporting Forms: Clock Synchronization Deviations and Erroneous Data (6/10/2020)
- Self Reporting Forms: Clock Synchronization Deviations and Erroneous Data (6/10/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

R. Clock Synchronization
05/07/2020
Event
CAT Technical Specification Working Group Q&A - 5/7/20
- Routed Order ID Validation Overview
- CAT Technical Specification Working Group Q&A 5/7/20- Presentation
Audio file

Topics

B. Reporting Requirements

R. Clock Synchronization
03/26/2020
Event
CAT Technical Specification Working Group Q&A - 3/26/20
- CAT Technical Specification Working Group Q&A 3/26/20 - Presentation
Audio file

Topics

B. Reporting Requirements

E. Order Routing and Execution

R. Clock Synchronization
02/25/2020
Announcement
Annual Clock Synchronization Certification

Topics

R. Clock Synchronization
01/09/2020
Event
Industry Webinar - CAT 101 (1/8/20)
- CAT 101 01/08/20 - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

M. Firm Designated ID

N. Third Party Reporting

P. Feedback and Error Correction

R. Clock Synchronization

T. Production Readiness Testing
10/24/2019
FAQ
R2. If I am an agency broker-dealer and I send my orders through a third-party service provider’s system (e.g., Bloomberg), what clock synchronization compliance obligations do I have with regard to the third-party service provider’s clocks and my own clocks? Do I need to do anything with regard to the internal systems (e.g., internal PCs or servers) or clocks within my own firm to satisfy the clock synchronization requirements?

Topics

R. Clock Synchronization

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