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

All Topics

Below is a summary of all available content.

UPCOMING EVENT

May

01

CAIS Industry Testing Checkpoint Call (May 1, 2024)

04:15PM EDT

Add To My Calendar

Displaying 1001 - 1010 of 1359 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

10/14/2019
FAQ
C6. What is the definition of a “cabinet” order for purposes of the “orderType” field for Exchange-listed options in the CAT Reporting Technical Specifications for Industry Members?

Topics

C. Definitions
10/10/2019
Event
CAT Technical Specification Working Group Q&A - 10/10/2019
- CAT Technical Specification Working Group Q&A - 10/10/2019 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
10/08/2019
Technical Specifications
CAT Industry Member Reporting Scenarios v2.4
09/26/2019
Event
Industry Webinar - CAT Connectivity Update (September 26, 2019)
- CAT Connectivity Update (September 26, 2019) - Presentation
Audio file

Topics

A. General

T. Production Readiness Testing
09/26/2019
Event
CAT Technical Specification Working Group Q&A - 9/26/2019
- CAT Technical Specifications Q&A 9/26/2019 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
09/26/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.1
09/25/2019
FAQ
A1. Has a legal entity been established to conduct the activities related to the CAT?

Topics

A. General
09/19/2019
Event
Industry Webinar - OTC Equities (September 18, 2019)
- Industry Webinar - OTC Equities (September 18, 2019) - Presentation
Audio file

Topics

B. Reporting Requirements

J. OTC Equity Securities
09/17/2019
FAQ
A4. Does the Consolidated Audit Trail, LLC have any officers?

Topics

A. General
09/12/2019
Event
CAT Technical Specification Working Group Q&A - 9/12/2019
- TSWG Q&A September 12, 2019
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing

Pagination

« First
‹ Previous
…
97
98
99
100
101
102
103
104
105
…
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