Latest Updates | CATNMSPLAN

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
V12. When is the payment due for the monthly CAT invoice?
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
V25. How would CAT fees be assessed with regard to ATSs?
10/12/2023
Reference Material
Industry Member Onboarding Guide v1.22
10/12/2023
FAQ| V. CAT Billing
V6. How many types of CAT fees are there?
10/12/2023
FAQ| V. CAT Billing
V22. Where can I obtain a copy of CAT LLC’s W-9?
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?
10/12/2023
CAT Alert
CAT Alert 2023-02 - CAT Billing
10/12/2023
FAQ| V. CAT Billing
V16. Are trade details related to the CAT invoice available?
10/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)
09/28/2023
Event
Part 1: CAT Billing Webinar
09/26/2023
Reference Material
SEC Approved CAT NMS Plan as of 9/06/2023

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