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 1041 - 1050 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

06/24/2019
Technical Specifications
CAT Industry Member Reporting Scenarios v2.1
06/18/2019
FAQ
A22. Can Small Industry Members that are not OATS Reporting Members (“Small Industry Non-OATs Reporters”) voluntarily report to the CAT prior to December 2021?

Topics

A. General
06/18/2019
FAQ
B11. What types of products will be in scope for purposes of Industry Members reporting details of Orders and Reportable Events to the CAT?

Topics

B. Reporting Requirements
06/18/2019
FAQ
B27. What are the hours for reporting to CAT?

Topics

B. Reporting Requirements
06/18/2019
FAQ
B30. Are Cancel Reports required for expired "DAY" orders?

Topics

B. Reporting Requirements
06/18/2019
FAQ
B38. Does the requirement that broker-dealers report on actionable indications of interest pursuant to Rule 606, under the Securities Exchange Act of 1934, change what is reportable to CAT?

Topics

B. Reporting Requirements
06/18/2019
FAQ
C4. The affiliateFlag requires the designation of an affiliate. How should CAT Reporters determine who is an "affiliate" for these purposes?

Topics

C. Definitions
06/18/2019
FAQ
R5. What clock synchronization procedures are required to comply with the CAT NMS Plan?

Topics

R. Clock Synchronization
06/18/2019
FAQ
P4. When will rejections be available?

Topics

P. Feedback and Error Correction
06/18/2019
FAQ
P9. For what reasons are records rejected by CAT?

Topics

P. Feedback and Error Correction

Pagination

« First
‹ Previous
…
101
102
103
104
105
106
107
108
109
…
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