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Displaying 1361 - 1370 of 1644 results

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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

X. Reference Database

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Order

04/11/2019
FAQ
O3. Will FINRA CAT, LLC provide some type of software/workstation for Industry Members to transmit the required order data?

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O. Technical Requirements
04/03/2019
Event
Industry Update on CAT Reporting Technical Specifications (4/3/2019)
- CAT Industry Call 4/3/2019 - Presentation
Audio file

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B. Reporting Requirements
03/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.1 Draft 2
03/29/2019
Technical Specifications
Industry Member Reporting Scenarios v1.1 Draft 2
03/25/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v1.72
03/19/2019
Event
Industry Member Update on Consolidated Audit Trail Registration (3/19/2019)
- CAT Industry Call Presentation 03192019
Audio file

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A. General
03/12/2019
FAQ
P16. What is the T+3 error correction timeframe based on (e.g., submission date, original error date, etc.)? Example: if an order event is submitted on T and is rejected on that day, then corrected on T+1 but the correction on T+1 fails, is the event on T considered "corrected" or does the T+1 rejection need to be addressed and, if so, when?

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P. Feedback and Error Correction
02/28/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.1 Draft 1
02/28/2019
Technical Specifications
Industry Member Reporting Scenarios v1.1 Draft 1
02/27/2019
Announcement
CAT NMS Selects FINRA as Consolidated Audit Trail Plan Processor

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A. General

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