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UPCOMING EVENT
Jul
17
Monthly CAT Update (July 17, 2025)
04:15PM EDT
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04/14/2025
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.1-r1
04/07/2025
Reference Material
CAT Billing Scenarios v1.1.2
Topics
V. CAT Billing
04/01/2025
Event
Monthly CAT Update (March 20, 2025)
Monthly CAT Update (March 20, 2025) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
Q. Customer and Account Information
V. CAT Billing
04/01/2025
Reference Material
CAT CAIS Reporter Portal User Guide v2.7.0
03/31/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r7
03/31/2025
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form
Topics
A. General
03/31/2025
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT
Topics
R. Clock Synchronization
03/25/2025
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2.0 r3 (Clean)
03/25/2025
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.2.0 r3 (Redlined)
03/25/2025
FAQ
Q19.
When will the FDID Refresh Reports be delivered in the Production Environment and by what date must Industry Members comply with the Periodic Customer & Account Information Refresh requirement?
Topics
Q. Customer and Account Information
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