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Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?

Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?

Any broker-dealer that is a member of a national securities exchange or FINRA and receives, originates and/or handles orders in NMS Securities, which includes NMS stocks and Listed Options, and/or OTC Equity Securities must report to CAT. There are no exemptions for any such broker-dealer for any reason.

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Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].