Latest Updates | CATNMSPLAN

10/12/2023
FAQ| V. CAT Billing
V17. How do I access the CAT invoice?
10/12/2023
FAQ| V. CAT Billing
V14. What should a firm do if payment was submitted but is not reflected on the CAT Reporter Portal?
10/12/2023
FAQ| A. General
A10. How is the cost of the CAT being funded?
10/12/2023
FAQ| A. General
A10. This FAQ has been retired and archived. Please refer to FAQ V1.
10/12/2023
FAQ| V. CAT Billing
V11. Is there a de minimis fee where an Industry Member would not receive an invoice?
10/12/2023
Reference Material
10/12/2023
FAQ| V. CAT Billing
V8. How is the Fee Rate for CAT Fees related to Prospective CAT Costs calculated?
10/12/2023
FAQ| V. CAT Billing
V5. How is “executed equivalent shares” defined?
10/12/2023
FAQ| V. CAT Billing
V21. Will separate receipts be issued for payment of CAT invoices?
10/12/2023
FAQ| V. CAT Billing
V2. Which Industry Members will receive a CAT invoice?
10/12/2023
FAQ| V. CAT Billing
V18. How do I update my firm’s billing contact information?
10/12/2023
FAQ| V. CAT Billing
V15. How are questions related to CAT invoices handled?
10/12/2023
FAQ| V. CAT Billing
V9. Will there be adjustments for trades that are cancelled or corrected?
10/12/2023
FAQ| V. CAT Billing
V3. How is “CAT Executing Broker” defined for CAT billing purposes?
10/12/2023
FAQ| V. CAT Billing
V19. What happens if a firm does not enter a billing contact in the CAT Contact Management System?

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