Skip to main content
Content type
CAT Alert
Announcement
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
All Topics
Year
- Any -
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
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS 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
CAT Alert
Announcement
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
04:15PM EST
Add To My Calendar
Displaying 771 - 780 of 1455 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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
10/26/2020
FAQ
Q4.
Are Industry Members required to report a Legal Entity Identifier (LEI) for their Customers to the CAT?
Topics
Q. Customer and Account Information
10/26/2020
FAQ
D30.
Are the material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, required to be reported to CAT?
Topics
D. Order Receipt
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
10/26/2020
FAQ
Q38.
Why is there a question on the CAT CAIS Registration Form asking for a Legal Entity Identifier (LEI)?
Topics
Q. Customer and Account Information
10/26/2020
FAQ
D34.
FAQ D30 states that material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, are required to be reported to CAT. How must such instructions, including standing instructions, firm-wide defaults, or port- or connection-level defaults, be reported?
Topics
D. Order Receipt
10/22/2020
Event
Outbound Router Industry Webinar (10/21/20)
Outbound Router Industry Webinar (10/21/20)- Presentation
Audio file
Topics
B. Reporting Requirements
10/20/2020
Event
Weekly Industry Testing Checkpoint Call (10/20/2020)
Weekly Industry Testing Checkpoint Call (10/20/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
CAT Technical Specification Working Group Q&A - 10/20/20
Audio file
Topics
B. Reporting Requirements
U. Allocations
10/19/2020
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT
Topics
R. Clock Synchronization
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
Pagination
«
« First
‹
‹ Previous
…
74
75
76
77
78
79
80
81
82
…
›
Next ›
»
Last »