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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
U. Allocations
All Topics
Year
- Any -
2020
2019
2018
2017
2016
2015
2014
2013
2012
Latest Updates
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06/09/2020
Event
Weekly Industry Testing Checkpoint Call (6/9/2020)
06/05/2020
Technical Specifications
Participant Technical Specifications v.3.1.0 r1
06/05/2020
Reference Material
IM Reporter Portal User Guide v1.1
06/05/2020
Reference Material
Notice of Filing of Exemptive Request Letter Related to Data Facility Reporting and Linkage
06/04/2020
FAQ
| B. Reporting Requirements
B14.
A registered investment advisor (RIA) operates within a US registered broker-dealer BD1 (i.e., BD1 and RIA are part of the same legal entity). The RIA originates and routes orders for execution away from BD1. What are the RIA's CAT reporting obligations?
06/04/2020
Reference Material
Erroneous Events Self Reporting Form
06/04/2020
CAT Alert
CAT Alert 2020-03 - Options Market Maker Quote Sent Time
06/03/2020
Event
Weekly Industry Testing Checkpoint Call (6/2/2020)
06/02/2020
FAQ
| B. Reporting Requirements
B56.
What steps should Industry Members take in the event of an organizational change such as a merger, acquisition, or succession?
06/02/2020
FAQ
| D. Order Receipt
D32.
How is tradingSession “ALL” defined?
06/02/2020
Event
CAT Technical Specification Working Group Q&A - 6/2/20
06/02/2020
FAQ
| D. Order Receipt
D33.
How should the tradingSession field be populated for option orders?
06/02/2020
FAQ
| B. Reporting Requirements
B55.
A registered investment advisor (RIA) operates within a US registered broker-dealer BD1 (i.e., BD1 and RIA are part of the same legal entity). The RIA has customers/clients with accounts that are custodied at BD2 and the RIA is an authorized trader on these accounts. When the RIA originates orders in the customer/client accounts at BD2, what are the CAT reporting obligations for BD1 and BD2?
05/27/2020
Event
Weekly Industry Testing Checkpoint Call (5/26/2020)
05/26/2020
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.6
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