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

Jan

22

Monthly CAT Update (January 22, 2026)

04:15PM EST

Add To My Calendar

Displaying 1431 - 1440 of 1546 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
Technical Specifications Published for Options Phase 2d

Topics

B. Reporting Requirements
Timeline Activity
Production Go-Live for Phase 2d reporting requirements
Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Small Firms: Production Go-Live for Equities 2a reporting requirements
Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Small Firms: Production Go-Live for Options 2b reporting requirements
Timeline Activity
Test Environment Opens for Equities Phase 2c reporting requirements
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

Pagination

« First
‹ Previous
…
140
141
142
143
144
145
146
147
148
…
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