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

Aug

21

Monthly CAT Update (August 21, 2025)

04:15PM EDT

Add To My Calendar

Displaying 1411 - 1420 of 1520 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

Timeline Activity
Small Firms: Production Go-Live for Equities 2c reporting requirements
Timeline Activity
Test Environment Opens for Options Phase 2d reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Options 2d reporting requirements
Timeline Activity
Customer and Account Information - Test Environment Opens

Topics

Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Compliance Go-Live

Topics

Q. Customer and Account Information
Timeline Activity
Private Line available for network testing (BT Radianz and Century Link)
Release 1 - File Submission and Data Integrity Validations

Topics

O. Technical Requirements
Timeline Activity
Publication of IMID/IMID Conflicts and Issue Sample List
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Onboarding Guide Update to include Multi-Factor Authentication
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
CAT Secure Reporting Gateway available for network testing
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Plan Participant UAT begins for Industry Test Release 1.1 (November 18 functionality) and Reference Data Release
Release 1 - File Submission and Data Integrity Validations

Pagination

« First
‹ Previous
…
138
139
140
141
142
143
144
145
146
…
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