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

Core Official Date

Order

Sort by Newest First

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

May

15

Monthly CAT Update (May 15, 2025)

04:15PM EDT

Add To My Calendar

Displaying 1381 - 1390 of 1492 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

Core Official Date

Order

Sort by Newest First

Timeline Activity
Small Firms: Production Go-Live for Options 2b reporting requirements
Timeline Activity
Test Environment Opens for Equities Phase 2c reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Equities 2c reporting requirements
Timeline Activity
Test Environment Opens for Options Phase 2d reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Options 2d reporting requirements
Timeline Activity
Customer and Account Information - Test Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Compliance Go-Live

Topics

Q. Customer and Account Information
Timeline Activity
Private Line available for network testing (BT Radianz and Century Link)
Release 1 - File Submission and Data Integrity Validations

Topics

O. Technical Requirements
Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations

Pagination

« First
‹ Previous
…
135
136
137
138
139
140
141
142
143
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at help@finracat.com.

©2020-2025 FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy