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

P. Feedback and Error Correction

This section provides information related to CAT file and data submission feedback and the error correction process.

UPCOMING EVENT

Dec

13

Monthly CAIS Industry Testing Checkpoint Call (December 13, ...

04:15PM EST

Add To My Calendar

Displaying 1 - 10 of 256 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

11/17/2023
Event
Monthly CAT Update (November 16, 2023)
- Monthly CAT Update (November 16, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/09/2023
FAQ
P5. What are the mechanisms for an Industry Member to correct a rejected order event?

Topics

P. Feedback and Error Correction
11/09/2023
FAQ
P8. For what reasons are Data Files rejected by CAT?

Topics

P. Feedback and Error Correction
11/02/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (November 1, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (November 1, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
- Monthly CAT Update (October 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/07/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (September 6, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

Pagination

1
2
3
4
5
6
7
8
9
…
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