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Content type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2020
2019
2018
2017
2016
2015
2014
2013
2012
Latest Updates
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Subscribe
03/26/2020
Event
CAT Technical Specification Working Group Q&A - 3/26/20
03/25/2020
Technical Specifications
Planned Industry Member Technical Specification Updates
03/25/2020
Technical Specifications
Industry Member Test Environment Known Issues List (3.24.20)
03/24/2020
CAT Alert
CAT-Alert-2018-004-UPDATED v1.2.pdf
03/24/2020
Announcement
Consolidated Audit Trail Advisory Committee List Updated
03/24/2020
FAQ
| H. ATS
H1.
If an Industry Member holds a peg order, is the Industry Member required to report to the CAT a modification to the peg order every time the market moves?
03/19/2020
Governance
Approval Order of Exemptive Request Letter related to Customer and Account Information
03/19/2020
Announcement
Approval Order of Exemptive Request Letter related to Customer and Account Information
03/19/2020
Announcement
Plan Participant's Request for No Action Relief
03/18/2020
Event
Weekly Industry Testing Checkpoint Call (3/17/2020)
03/17/2020
Announcement
No Action Letter
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter
03/14/2020
Reference Material
FINRA CAT Onboarding Guide v1.7
03/12/2020
FAQ
| S. Security
S4.
What is the CAT?
03/12/2020
Technical Specifications
Industry Member Test Environment Known Issues List
,
Industry Member Test Environment Known Issues List 03.12.20
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