Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
other
Reference Material
Timeline Activity
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
X. Reference Database
All Topics
Year
- Any -
2026
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Newsletters
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
Announcement
CAT Alert
Event
FAQ
other
Reference Material
Timeline Activity
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
X. Reference Database
All Topics
Year
- Any -
2026
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
X. Reference Database
Displaying 21 - 27 of 27 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
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
X. Reference Database
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
05/05/2026
FAQ
X14.
How should Industry Members populate the customerType field for a CAT Customer who has a US Taxpayer Identification Number but a foreign address, foreign identification/passport or is otherwise identified as foreign by the Industry Member?
Topics
X. Reference Database
05/05/2026
FAQ
X6.
Following the closure of an account and the associated FDID being ended in the Reference Database, is an Industry Member required to re-activate the FDID in the Reference Database for non-CAT reportable entries, such as delayed dividend payments?
Topics
X. Reference Database
05/05/2026
FAQ
X5.
When reporting a piggyback clearing scenario to the Reference Database, which Industry Member’s CRD number must the clearing firm populate in the correspondentCRD field when Firm A is piggybacking off of Firm B’s relationship with the clearing firm?
Topics
X. Reference Database
05/05/2026
FAQ
X4.
An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?
Topics
X. Reference Database
05/05/2026
FAQ
X3.
When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
Topics
X. Reference Database
05/05/2026
FAQ
X1.
Can an Industry Member submit the same record to the Reference Database every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
Topics
X. Reference Database
04/23/2026
Newsletter
Monthly CAT Update Newsletter: April 2026
Monthly CAT Update (April 23, 2026) - Newsletter
Topics
A. General
B. Reporting Requirements
V. CAT Billing
X. Reference Database
Pagination
«
« First
‹
‹ Previous
1
2
3