Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
W. Fee Dispute Resolution
All Topics
Year
- Any -
2025
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 Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
W. Fee Dispute Resolution
All Topics
Year
- Any -
2025
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
May
15
Monthly CAT Update (May 15, 2025)
04:15PM EDT
Add To My Calendar
Displaying 11 - 20 of 1491 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
W. Fee Dispute Resolution
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
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 (Clean)
03/31/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r7 (Redlined)
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
03/24/2025
Governance
Notice of Filing of Exemptive Request Letter Related to Timestamp Granularity
03/21/2025
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.1.0 r6
Pagination
«
« First
‹
‹ Previous
1
2
3
4
5
6
7
8
9
…
›
Next ›
»
Last »