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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
04:15PM EST
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04/11/2019
FAQ
L1.
How should orders sent to a Floor Broker on the New York Stock Exchange, NYSE American LLC or NYSE Arca, Inc. be reported to CAT?
Topics
L. Equity Floor Brokers
04/11/2019
FAQ
O1.
What are the mechanisms for reporting to CAT?
Topics
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?
Topics
O. Technical Requirements
04/03/2019
Event
Industry Update on CAT Reporting Technical Specifications (4/3/2019)
CAT Industry Call 4/3/2019 - Presentation
Audio file
Topics
B. Reporting Requirements
03/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.1 Draft 2
03/29/2019
Technical Specifications
Industry Member Reporting Scenarios v1.1 Draft 2
03/25/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v1.72
03/19/2019
Event
Industry Member Update on Consolidated Audit Trail Registration (3/19/2019)
CAT Industry Call Presentation 03192019
Audio file
Topics
A. General
03/12/2019
FAQ
P16.
What is the T+3 error correction timeframe based on (e.g., submission date, original error date, etc.)? Example: if an order event is submitted on T and is rejected on that day, then corrected on T+1 but the correction on T+1 fails, is the event on T considered "corrected" or does the T+1 rejection need to be addressed and, if so, when?
Topics
P. Feedback and Error Correction
02/28/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v1.1 Draft 1
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