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

W. Fee Dispute Resolution

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Mar

19

Monthly CAT Update (March 19, 2026)

04:15PM EDT

Add To My Calendar

Displaying 1151 - 1160 of 1562 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

W. Fee Dispute Resolution

Sort by

Order

01/28/2020
FAQ
K7. This FAQ has been moved to section K. Options, as FAQ K8.

Topics

K. Options
01/28/2020
FAQ
E13. Is a firm that routes an order away from the firm for execution required to report routing instructions (e.g., specific order types and terms and conditions used for the order when sending to an exchange) to CAT in the handlingInstructions field on the CAT Order Route Event?

Topics

E. Order Routing and Execution
01/27/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.0
01/22/2020
Event
Weekly Industry Testing Checkpoint Call (1/21/2020)
- Industry Test Release Checkpoint (1/21/2020) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/16/2020
Event
Industry Webinar – CAT Updates (01/15/2020)
- Industry Webinar - General CAT Update
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/16/2020
Event
CAT Technical Specification Working Group Q&A - 1/16/20
- CAT Technical Specification Working Group Q&A 1/16/20 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/15/2020
Event
Weekly Industry Testing Checkpoint Call (1/14/2020)
- Industry Test Release Status 1/14/2020 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
01/14/2020
FAQ
T1. Where can Industry Members find information regarding production readiness testing requirements?

Topics

T. Production Readiness Testing
01/14/2020
FAQ
T2. How will Industry Members that use multiple CAT Reporting Agents (“CRA”) be certified for production?

Topics

T. Production Readiness Testing
01/14/2020
FAQ
T3. If the production readiness submission has an error rate exceeding 10%, can the data be corrected and resubmitted for a subsequent certification attempt?

Topics

T. Production Readiness Testing

Pagination

« First
‹ Previous
…
112
113
114
115
116
117
118
119
120
…
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