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

A. General

This topic provides general information related to the Consolidated Audit Trail and the CAT NMS Plan.

UPCOMING EVENT

Apr

17

Monthly CAT Update (April 17, 2025)

04:15PM EDT

Add To My Calendar

Displaying 91 - 100 of 186 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

02/25/2021
Event
Industry Member Report Card 101 Webinar (2/24/21)
- Industry Member Report Card 101 Webinar (2/24/21)- Presentation
Audio file

Topics

A. General
02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
- Monthly CAT Implementation Update (2/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/29/2021
FAQ
A25. Are primary market transactions subject to CAT reporting?

Topics

A. General
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
- Monthly CAT Implementation Update (1/21/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/17/2020
Event
Monthly CAT Implementation Update (12/17/20)
- Monthly CAT Implementation Update (12/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/19/2020
Event
Monthly CAT Implementation Update (11/19/20)
- Monthly CAT Implementation Update (11/19/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/26/2020
FAQ
A34. Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?

Topics

A. General
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
- Monthly CAT Implementation Update (10/15/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General

Pagination

« First
‹ Previous
…
6
7
8
9
10
11
12
13
14
…
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