Plan Participant Contact List
As a general matter, Industry Members should first contact the FINRA CAT Helpdesk at [email protected] or 888-696-3348 for assistance in identifying and troubleshooting the causes of unlinked events between an Industry Member and a Plan Participant market center. The Plan Participant Contact List below is provided as an additional secondary resource for questions related to the market center’s CAT linkage keys once the unlinked reason has been identified, with the assistance of the FINRA CAT Helpdesk, if necessary.
Last Updated: 10/25/2023
| Plan Participant | Linkage Contact | Interpretive Contact |
|---|---|---|
| BOX Exchange LLC | [email protected] | [email protected] |
Cboe Exchanges
| Cboe Trade Desk 913-815-7001 [email protected] | Cboe Reg Interps 312-786-8141 [email protected] |
| FINRA OTC Reporting Facility (ORF) and Trade Reporting Facilities (TRFs) | FINRA ORF/TRF Linkage | FINRA ORF/TRF Linkage |
| Investor's Exchange (IEX) | Beth Batiuchok Regulation Oversight Lead 646-343-2039 [email protected] | Beth Batiuchok Regulation Oversight Lead 646-343-2039 [email protected] |
| Long Term Stock Exchange (LTSE) | Trading operations questions: [email protected] | Regulatory questions: [email protected] |
Members Exchanges
| [email protected] | [email protected] |
MIAX Exchanges
|
Regulatory Department | Regulatory Questions 609-897-7309 [email protected] |
Nasdaq Exchanges
| Equities: [email protected] Options: [email protected] | Equities: [email protected] Options: [email protected] |
New York Stock Exchanges
| Equities: [email protected] Options: [email protected] | Equities: [email protected] Options: [email protected] |