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 951 - 960 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

02/12/2020
Event
Weekly Industry Testing Checkpoint Call (2/11/2020)
- Industry Test Release Status 2/11/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/12/2020
Technical Specifications
CAT Industry Member Reporting Scenarios v2.5
02/12/2020
Governance
Notice of Filing of Exemptive Request Letter related to Data Facility Reporting and Linkage
02/11/2020
FAQ
A30. If a firm meets the definition of a Small Industry Member at the time its audited financial statements are prepared, but its total capital subsequently exceeds $500,000 prior to the Small Industry Member deadline of December 2021, must it immediately start reporting to CAT as a Large Industry Member?

Topics

A. General
02/11/2020
FAQ
K11. Can an Industry Member choose to report manual option events in Phase 2b, though they are not required until Phase 2d?

Topics

K. Options
02/11/2020
FAQ
E28. Exchange origin code is required to be reported on CAT Order Route events when routing orders to an options exchange. However, it is not required by all options exchange protocols for certain market maker orders. In these cases, with what should Industry Members populate the exchOriginCode field on the Options Order Route Event?

Topics

E. Order Routing and Execution
02/05/2020
Event
Weekly Industry Testing Checkpoint Call (2/4/2020)
- Industry Test Release Checkpoint (2/4/2020) - Presentation
- AWS PrivateLink Connectivity Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
02/03/2020
Governance
Notice of Filing of Exemptive Request Letter related to Timestamp Granularity and Relationship IDs
02/03/2020
Governance
Notice of Filing of Exemptive Request Letter related to the Definition of Small Industry Member
01/30/2020
Event
CAT Technical Specification Working Group Q&A - 1/30/2020
- CAT Technical Specification Working Group Q&A 1/30/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing

Pagination

« First
‹ Previous
…
92
93
94
95
96
97
98
99
100
…
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