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Announcement
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Reference Material
Timeline Activity
Topics
A. General
B. Reporting Requirements
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E. Order Routing and Execution
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J. OTC Equity Securities
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03/12/2020
FAQ
| B. Reporting Requirements
B47.
Order Internal Route Modified events are not required to be reported to CAT until Phase 2c. In Phase 2a, what orderID should be populated on events subsequent to the internal route modification (e.g., MEOR, MEOT)?
03/12/2020
FAQ
| S. Security
S4.
What is the CAT?
03/11/2020
Reference Material
Industry Member CAT Reporter Portal User Guide v1.3
03/11/2020
Event
Weekly Industry Testing Checkpoint Call (3/10/2020)
03/09/2020
Reference Material
Annual Clock Synchronization Certification Form (2020)
03/05/2020
Event
Industry Webinar - Production Readiness Testing (3/4/2020)
03/04/2020
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.5
02/27/2020
Event
Weekly Industry Testing Checkpoint Call and CAT Reporter Portal Demo (2/25/2020)
02/27/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID
02/26/2020
Technical Specifications
Participant Technical Specifications v3.0.1
02/25/2020
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT
02/25/2020
FAQ
| D. Order Receipt
D31.
What accountHolderType value should be used if the beneficial owner of an account is a non-broker-dealer foreign affiliate or non-reporting foreign broker-dealer, but the beneficial owner also meets the definition of another accountHolderType value (e.g., institution)?
02/25/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1
02/25/2020
Announcement
Annual Clock Synchronization Certification
02/25/2020
FAQ
| O. Technical Requirements
O14.
Can a CAT Reporter share its CAT connectivity with other affiliated CAT Reporters or affiliated CAT Reporting Agents?
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