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On Wednesday, March 4, 2020, at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Webinar focusing on Production Readiness Testing. This Webinar is open to self-reporting firms, CAT Reporting Agents and Industry Members submitting to CAT via CAT Reporting Agents. We will provide an overview of production readiness testing and certification requirements for gaining access to the CAT Production Environment. The presentation will be followed by a Question and Answer session.

On Tuesday, February 25, 2020, at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host the regularly scheduled Weekly Industry Testing Checkpoint Call which will also include a demo of Industry Test Release 1.3 functionality: Submission, Error Correction & Feedback. The event will be held at 4:15 pm ET.

As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year.

UPDATED A copy of the certification form is available here .

If the beneficial owner of an account is a non-broker-dealer foreign affiliate or non-reporting foreign broker-dealer, then the Industry Member must use the accountHolderType value of ("F") on the CAT New Order event even if the beneficial owner also meets the definition of another accountHolderType value.

Yes. A CAT Reporter may share its CAT connectivity (e.g., Industry Member or Plan Participant connectivity to FINRA CAT, such as private line, AWS PrivateLink, CAT Secure Reporting Gateway) with one or more affiliated CAT Reporters (“Affiliated CAT Reporter(s)”) and/or affiliated CAT Reporting Agents (“Affiliated CAT Reporting Agent(s)”).