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

X. Reference Database

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

Displaying 861 - 870 of 1643 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

X. Reference Database

Sort by

Order

04/13/2021
Technical Specifications
Customer and Account Industry Member Submission Schema v1.2
04/07/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (April 7, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (4/7/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
04/06/2021
FAQ
U19. How should the DVPCustodianID field in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?

Topics

U. Allocations
04/06/2021
FAQ
U24. Is an Industry Member that is a clearing broker required to report an allocation report before all required information about the allocation is known? Specifically, allocations to DVP accounts require the DVPCustodianID field to be populated. How would the clearing firm report an allocation report if the DVPCustodianID is not yet available?

Topics

U. Allocations
04/06/2021
FAQ
U26. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or other non-CAT reportable transaction to CAT?

Topics

U. Allocations
04/06/2021
Event
CAT Technical Specification Working Group Q&A - 4/6/21
- CAT Technical Specification Working Group Q&A - 4/6/21
- April 2021 Technical Specification Update and Time Frames - 4/6/21
Audio file

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r2

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r12

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r8

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.2

Pagination

« First
‹ Previous
…
83
84
85
86
87
88
89
90
91
…
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