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

May

15

Monthly CAT Update (May 15, 2025)

04:15PM EDT

Add To My Calendar

Displaying 1171 - 1180 of 1492 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

06/18/2019
FAQ
O5. Can order events for more than one CAT Reporter be submitted to CAT in a single file?

Topics

O. Technical Requirements
06/18/2019
FAQ
O7. Where can information on obtaining entitlement to CAT be found?

Topics

O. Technical Requirements
06/18/2019
FAQ
O9. Where can information on obtaining access to the private network for reporting to CAT be found?

Topics

O. Technical Requirements
06/18/2019
FAQ
O11. Who do I contact if I need to change the configuration of my connection to the private network?

Topics

O. Technical Requirements
06/18/2019
FAQ
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?

Topics

M. Firm Designated ID
06/18/2019
FAQ
K4. Are option assignments required to be reported to CAT?

Topics

K. Options
06/18/2019
FAQ
J1. Are quotations in OTC Equity Securities that are sent by an Industry Member to foreign exchanges reportable to CAT?

Topics

J. OTC Equity Securities
06/18/2019
FAQ
H3. What should be populated in the "nbboTimestamp" fields on the New Order, Order Accept, Child Order, Child Order Modified, Order Modified, Order Adjusted and Trade Events for ATSs?

Topics

H. ATS
06/18/2019
FAQ
D6. Should accounts belonging to family members of an employee of an Industry Member CAT Reporter be reported with the accountHolderType Code "E"?

Topics

D. Order Receipt
06/18/2019
FAQ
D7. Should accountHolderType Code "E" be used for orders received from former or retired employees or employees of other broker-dealers?

Topics

D. Order Receipt

Pagination

« First
‹ Previous
…
114
115
116
117
118
119
120
121
122
…
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