O. Technical Requirements
This topic includes information related to the technical requirements and tools for submitting data to CAT.
On Tuesday, March 9, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar specifically for Industry Members’ network connectivity options to the new multi-region disaster recovery environment for both Transaction and Customer Account systems and the 2021 SIFMA Industry Test.Audio file
- FAQO14. Can a CAT Reporter share its CAT connectivity with other affiliated CAT Reporters or affiliated CAT Reporting Agents?
Yes. A CAT Reporter may share its CAT connectivity (e.g., Industry Member or Plan Participant connectivity to FINRA CAT, such as private line, AWS PrivateLink, CAT Secure Reporting Gateway) with one or more affiliated CAT Reporters (“Affiliated CAT Reporter(s)”) and/or affiliated CAT Reporting Agents (“Affiliated CAT Reporting Agent(s)”).
On Thursday, August 29, 2019, at 10:30 am ET, CAT NMS, LLC and FINRA CAT, LLC will host an industry webinar on CAT Connectivity. The event will be held at 10:30 am ET.
Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. The presentation document and recording will be posted.Audio file
CAT supports network access for reporting order events via Private Lines (i.e., wan circuits and cross connects) and Remote Client VPN connections. FINRA CAT LLC will organize Private Lines connectivity options with Industry Members through the use of a Managed network Service Provider (MNSP). For Industry Members who require Private Line connections, Industry Members will be responsible for procuring access from an approved (MNSP) to authenticate and submit SFTP data uploads. The Reporter Portal will also be available over the MNSP connection(s).
No. A file may contain records for only one CAT Reporter IMID.
- FAQO4. If a clearing firm enters into agreements with each of its correspondents to transmit data to CAT on behalf of the correspondents, is a separate Reporter ID required for each correspondent?
Yes. Clearing firms that enter into agreements with their correspondents to transmit data to CAT on behalf of their correspondents are required to use each correspondent’s unique CAT Reporter IMID.
Information regarding connectivity and the registration process will be provided in the Industry Member Onboarding User Guide.
Information on CAT Entitlement, will be published in an Industry Member Onboarding User Guide on www.catnmsplan.com.
- FAQO11. Who do I contact if I need to change the configuration of my connection to the private network?
If you need technical assistance, contact the CAT Helpdesk at 1-888-696-3348.
- FAQO3. Will FINRA CAT LLC provide some type of software/workstation for Industry Members to transmit the required order data?
Yes, FINRA CAT LLC provides a CAT Reporter Portal that allows Industry Members to upload small files, as well as manually type and transmit the required order data. (This is only appropriate for Industry Members that will submit fewer than 500 order reports per day.) There are no other plans to provide Industry Members with software or a workstation to transmit the required data.