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
- Any -
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
- Any -
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Apr
17
Monthly CAT Update (April 17, 2025)
04:15PM EDT
Add To My Calendar
Displaying 241 - 250 of 1488 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
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
Sort by Newest First
09/05/2023
Technical Specifications
CAIS TIDS Schema
09/05/2023
Technical Specifications
CAIS TIDS Feedback Schema
08/22/2023
Event
CAT CAIS Technical Specifications Working Group - August 22, 2023
CAT CAIS Technical Specifications Working Group (August 22, 2023) - Presentation
Audio file
Topics
Q. Customer and Account Information
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
Monthly CAT Update (August 17, 2023) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
08/15/2023
Event
CAT Technical Specifications Working Group - August 15, 2023
CAT Technical Specifications Working Group (August 15, 2023) - Presentation
Audio file
Topics
B. Reporting Requirements
08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form
Topics
A. General
08/08/2023
CAT Alert
CAT Alert 2021-04-Phase 2e: Transitioning from LTID Account Phase to Full CAIS Phase
Topics
Q. Customer and Account Information
08/08/2023
Reference Material
Small Firm Roadmap to May, 31, 2024
Topics
B. Reporting Requirements
Q. Customer and Account Information
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
Topics
A. General
08/03/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023)
Monthly CAIS Industry Testing Checkpoint Call (August 2, 2023) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
Pagination
«
« First
‹
‹ Previous
…
21
22
23
24
25
26
27
28
29
…
›
Next ›
»
Last »
Back to top