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- FAQ
Allocation events for shares/contracts initially booked to an account or changes to shares/contracts that were initially booked to an account prior to April 26, 2021 (Phase 2c - Equities) or December 13, 2021 (Phase 2d – Options) are not required to be reported to the CAT. This includes any actions subsequent to the initial booking, such as allocation amendments or cancel/rebills.
Topics - FAQ
Starting in Phase 2d, the New Quote event (MENQ) is used to report:
Topics - Reference Material
- Event
On Thursday, March 4, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar focused on the CAT reporting requirements for Requests for Quotes ("RFQs") and other forms of solicitation.
Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.
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