Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

All 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

V. CAT Billing

Sort by

Order

Subscribe

M. Firm Designated ID

This topic includes information related to the Firm Designated ID (“FDID”) and use cases.

Displaying 21 - 30 of 32 results

Filter by Content Type

Filter by Topic

All 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

V. CAT Billing

Sort by

Order

03/12/2020
FAQ
M15. What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?

Topics

M. Firm Designated ID
02/27/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID

Topics

A. General

M. Firm Designated ID
02/20/2020
Event
Industry Webinar - FDID Refresher and Introduction to Allocation Reporting (2/19/2020)
- FDID Refresher and Introduction to Allocation Reporting (2/19/2020) - Presentation
Audio file

Topics

M. Firm Designated ID

U. Allocations
01/09/2020
Event
Industry Webinar - CAT 101 (1/8/20)
- CAT 101 01/08/20 - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

M. Firm Designated ID

N. Third Party Reporting

P. Feedback and Error Correction

R. Clock Synchronization

T. Production Readiness Testing
12/18/2019
Event
Industry Webinar – Initial CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID (12/18/2019)
- CAT Customer and Account Information System (CAIS) Specification for Firm Designated ID (FDID) and Large Trader ID (LTID)
Audio file

Topics

B. Reporting Requirements

M. Firm Designated ID

Q. Customer and Account Information
09/11/2019
Event
Industry Webinar - Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
- Firm Designated ID (“FDID”) Follow-up (September 10, 2019) - Presentation
Audio file

Topics

M. Firm Designated ID

U. Allocations
09/11/2019
Event
Industry Webinar – Firm Designated ID (“FDID”) Follow-up (September 10, 2019)
- FDID Follow-Up LTID Industry Proposal
Audio file

Topics

M. Firm Designated ID
08/13/2019
FAQ
M13. Does a Firm Designated ID apply to a trading account or to a Customer? Certain provisions in the CAT NMS Plan refer to Firm Designated IDs for Customers.

Topics

M. Firm Designated ID
06/18/2019
FAQ
M11. Is the use of a Relationship ID to populate the FDID if the account structure is not available at the time of order receipt limited to only institutions?

Topics

M. Firm Designated ID
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)
- FDID Guidance April 2019
Audio file

Topics

M. Firm Designated ID

U. Allocations

Pagination

« First
‹ Previous
1
2
3
4
Next ›
Last »

Need Help?

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

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy