Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
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 Billing CAT Alert
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
Reporter Portal
Access Information
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
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
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
Apr
18
Monthly CAT Update (April 18, 2024)
04:15PM EDT
Add To My Calendar
Displaying 711 - 720 of 1353 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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
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
10/14/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
10/13/2020
Event
Weekly Industry Testing Checkpoint Call (10/13/2020)
Weekly Industry Testing Checkpoint Call (10/13/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
10/13/2020
FAQ
B65.
This FAQ was moved. See FAQ E31.
Topics
B. Reporting Requirements
10/07/2020
FAQ
U2.
What is an Allocation Report and who is required to report it?
Topics
U. Allocations
10/06/2020
FAQ
F3.
How does a CAT Reporter determine the manner in which an agency order filled on an average price basis should be reported? More specifically, when should an Order Fulfillment (as reflected in Scenario 2.3.4 Fill of a Single Customer Order on an Average Price Basis in the CAT Industry Member Reporting Scenarios document) be used instead of Route Reports?
Topics
F. Representative Orders
10/06/2020
Event
Weekly Industry Testing Checkpoint Call (10/6/2020)
Weekly Industry Testing Checkpoint Call (10/6/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
10/06/2020
FAQ
E31.
If an Industry Member routes an order to another Industry Member or exchange and it is rejected because a data element was malformed and the message was unable to be read or parsed, is the Industry Member required to report the related order events to CAT given that they might reject (for example, for a malformed symbol or optionID that is not on the CAT Reportable Equity/Options Securities Symbol Master list)?
Topics
E. Order Routing and Execution
09/30/2020
Technical Specifications
Industry Member Test Environment Known Issues List (9/29/20)
Pagination
«
« First
‹
‹ Previous
…
68
69
70
71
72
73
74
75
76
…
›
Next ›
»
Last »