This webpage provides information for CAT Reporters on how to gain access to the CAT Test and Production environments for the first time. Industry Members and CAT Reporting Agents that report to CAT on behalf of Industry Members must complete all onboarding steps to gain access to CAT, including:
- Register for CAT.
- Refer to the FINRA CAT Industry Member Onboarding Guide for the remaining onboarding steps.
Questions related to this document may be directed to the FINRA CAT Helpdesk at 888-696-3348 or at email@example.com.
View archives of prior Registration & Onboarding resources.
- Industry Update on Consolidated Audit Trail Registration – Recording
- Industry Update on Consolidated Audit Trail Registration – Presentation
- CAT Alert 2019-01 – Alternative Trading System (“ATS”) Order Type Identifier Registration
- CAT Reporter Agreement (DocuSign Link) (Complete this form if submitting live production data to the Industry Member Test Environment - see CAT Alert 2019-005 for more information)
- CAT Reporter Agreement (PDF for reference)
- CAT Industry Member Limited Testing Acknowledgement Form (DocuSign Link) (Complete this form if ONLY submitting fabricated test data or obfuscated production data to the Industry Member Test Environment - see CAT Alert 2019-005 for more information)
- CAT Industry Member Limited Testing Acknowledgement Form (PDF for reference)
- CAT Reporting Agent Agreement (DocuSign Link) (Service Bureaus only)
- CAT Reporting Agent Agreement (PDF for reference)
- FINRA Entitlement Program
- ATS NBBO Source Change Form FINRA Rule 4554, requires ATSs using an alternative NBBO feed from what was reported on its ATS data submission to notify FINRA of the fact that an alternative source was used, identify the alternative source, and specify the date(s), time(s) and securities for which the alternative source was used. Consistent with FINRA Rule 4554 for the purpose of CAT reporting, Industry Members should submit this form to FINRA CAT via email at firstname.lastname@example.org.