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 1191 - 1200 of 1358 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

03/21/2018
FAQ
A12. Will CAT Reporters have access to their own submitted data?

Topics

A. General
03/21/2018
FAQ
A13. Will SIP and OPRA data be included in the CAT?

Topics

A. General
03/21/2018
FAQ
A14. Will CAT tie the audit trail data to clearing data?

Topics

A. General
03/21/2018
FAQ
A15. How will the SEC and Participants access the CAT Data for regulatory purposes?

Topics

A. General
03/21/2018
FAQ
A16. What are the requirements for accessing historical CAT Data?

Topics

A. General
03/21/2018
FAQ
A17. How many regulatory users are expected to access CAT Data?

Topics

A. General
03/21/2018
FAQ
A18. Will the CAT provide the regulators with access to uncorrected data for surveillance?

Topics

A. General
03/21/2018
FAQ
A20. Will there be third-party auditing requirements to make sure the CAT is working properly?

Topics

A. General
03/21/2018
FAQ
B1. Are market maker quotes required to be reported to the CAT?

Topics

B. Reporting Requirements
03/21/2018
FAQ
S1. What steps are being taken to ensure that the CAT is secure given heightened cybersecurity concerns?

Topics

S. Security

Pagination

« First
‹ Previous
…
116
117
118
119
120
121
122
123
124
…
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