Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

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

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

May

08

CAIS Industry Testing Checkpoint Call (May 8, 2024)

04:15PM EDT

Add To My Calendar

Displaying 91 - 100 of 1354 results

Filter by Content Type

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

Order

10/12/2023
FAQ
V22. Where can I obtain a copy of CAT LLC’s W-9?

Topics

V. CAT Billing
10/12/2023
FAQ
V21. Will separate receipts be issued for payment of CAT invoices?

Topics

V. CAT Billing
10/12/2023
FAQ
V20. How will a firm be notified that CAT invoices have been published?

Topics

V. CAT Billing
10/12/2023
FAQ
V19. What happens if a firm does not enter a billing contact in the CAT Contact Management System?

Topics

V. CAT Billing
10/12/2023
FAQ
V18. How do I update my firm’s billing contact information?

Topics

V. CAT Billing
10/12/2023
FAQ
V17. How do I access the CAT invoice?

Topics

V. CAT Billing
10/12/2023
FAQ
V16. Are trade details related to the CAT invoice available?

Topics

V. CAT Billing
10/12/2023
FAQ
V15. How are questions related to CAT invoices handled?

Topics

V. CAT Billing
10/12/2023
FAQ
V14. What should a firm do if payment was submitted but is not reflected on the CAT Reporter Portal?

Topics

V. CAT Billing
10/12/2023
FAQ
V12. When is the payment due for the monthly CAT invoice?

Topics

V. CAT Billing

Pagination

« First
‹ Previous
…
6
7
8
9
10
11
12
13
14
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy