Latest Updates | CATNMSPLAN

01/29/2025
FAQ| S. Security
S2. Will the CAT be required to satisfy the requirements of Reg SCI?
01/29/2025
FAQ| S. Security
S8. Who has access to CAT Data and how is it used?
01/29/2025
FAQ| S. Security
S6. This FAQ has been retired and archived. Please refer to FAQ S5.
01/29/2025
FAQ| S. Security
S5. What information is in the CAT?
01/29/2025
FAQ| S. Security
S1. This FAQ has been retired and archived. Please refer to FAQ S3.
01/29/2025
FAQ| S. Security
S12. Is Industry Testing performed in a Production Environment?
01/29/2025
FAQ| S. Security
S3. What oversight mechanisms are in place so that the Plan Processor and the CAT System secure CAT data?
01/29/2025
FAQ| S. Security
S9. How can CAT Data be used?
01/29/2025
FAQ| S. Security
S7. This FAQ has been retired and archived. Please refer to FAQ S5.
01/29/2025
FAQ| S. Security
S6. What is Customer Account Information and Customer Identifying Information?
01/29/2025
FAQ| S. Security
S2. This FAQ has been retired and archived. Please see FAQ S4.
01/29/2025
FAQ| S. Security
S10. How does the Plan Processor protect the security of submitted data?
01/29/2025
FAQ| S. Security
S9. This FAQ has been retired and archived. Please refer to FAQ S8.
01/29/2025
FAQ| S. Security
S1. What steps are being taken to ensure that the CAT is secure given heightened cybersecurity concerns?
01/29/2025
FAQ| S. Security
S7. How does the CAT protect social security numbers?

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