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O. Technical Requirements

This topic includes information related to the technical requirements and tools for submitting data to CAT.

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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

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06/18/2019
FAQ
O11. Who do I contact if I need to change the configuration of my connection to the private network?

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O. Technical Requirements
06/18/2019
FAQ
O5. Can order events for more than one CAT Reporter be submitted to CAT in a single file?

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O. Technical Requirements
04/11/2019
FAQ
O3. Will FINRA CAT, LLC provide some type of software/workstation for Industry Members to transmit the required order data?

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O. Technical Requirements
04/11/2019
FAQ
O1. What are the mechanisms for reporting to CAT?

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O. Technical Requirements
11/15/2018
FAQ
O8. What are the Web addresses used to transfer CAT data?

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O. Technical Requirements
11/15/2018
FAQ
O13. Where can the status of the CAT system be found?

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O. Technical Requirements
11/15/2018
FAQ
O12. Can records submitted via the CAT Web Portal be saved?

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O. Technical Requirements
11/15/2018
FAQ
O6. Are back-up circuits required for reporting to CAT via SFTP?

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O. Technical Requirements
11/15/2018
FAQ
O10. Can files be sent to CAT using SFTP via the Internet?

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O. Technical Requirements
CAT Alert
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0

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B. Reporting Requirements

O. Technical Requirements

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