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

W. Fee Dispute Resolution

Sort by

Order

Subscribe

V. CAT Billing

Displaying 41 - 50 of 58 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

W. Fee Dispute Resolution

Sort by

Order

10/12/2023
FAQ
V21. Will separate receipts be issued for payment of CAT invoices?

Topics

V. CAT Billing
10/12/2023
FAQ
V26. How would CAT fees be assessed with regard to non-Industry Members on transaction reports?

Topics

V. CAT Billing
10/12/2023
FAQ
V15. How are questions related to CAT invoices handled?

Topics

V. CAT Billing
10/12/2023
FAQ
V20. How will a firm be notified that CAT invoices have been published?

Topics

V. CAT Billing
10/12/2023
FAQ
V9. Will there be adjustments for trades that are cancelled or corrected?

Topics

V. CAT Billing
10/12/2023
FAQ
V14. What should a firm do if payment was submitted but is not reflected on the CAT Reporter Portal?

Topics

V. CAT Billing
10/12/2023
FAQ
V3. How is “CAT Executing Broker” defined for CAT billing purposes?

Topics

V. CAT Billing
10/12/2023
FAQ
V19. What happens if a firm does not enter a billing contact in the CAT Contact Management System?

Topics

V. CAT Billing
10/12/2023
FAQ
V8. How is the Fee Rate for CAT Fees related to Prospective CAT Costs calculated?

Topics

V. CAT Billing
10/12/2023
FAQ
V2. Which Industry Members will receive a CAT invoice?

Topics

V. CAT Billing

Pagination

« First
‹ Previous
1
2
3
4
5
6
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