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

W. Fee Dispute Resolution

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Mar

19

Monthly CAT Update (March 19, 2026)

04:15PM EDT

Add To My Calendar

Displaying 1471 - 1480 of 1562 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

W. Fee Dispute Resolution

Sort by

Order

Timeline Activity
AWS PrivateLink available for 2a/2b machine-to-machine file submission and CAT Reporter Portal
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Plan Participant UAT begins for February Industry Test Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Reporter Portal User Guide Published for February Release
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.3
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Test Release 1.4
Release 1 - File Submission and Data Integrity Validations
Event
Weekly Industry Checkpoint Call (3/24/2020)
- Weekly Industry Testing Checkpoint Call (3/24/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2a reporting
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Environment Opens for Production Readiness
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Production Go-Live for Equities 2a file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Industry Members and CAT Reporting Agents must complete production readiness testing for 2b reporting
Release 1 - File Submission and Data Integrity Validations

Pagination

« First
‹ Previous
…
144
145
146
147
148
149
150
151
152
…
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