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

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Jul

10

CAIS Industry Testing Checkpoint Call and Industry Member C...

04:15PM EDT

Add To My Calendar

Displaying 261 - 270 of 1380 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

Sort by

Order

10/04/2022
FAQ
Q12. Are regulators expecting complete accuracy with respect to the ltidEndReason and roleEndReason?

Topics

Q. Customer and Account Information
09/29/2022
Event
CAIS Industry Testing Checkpoint Call (September 28, 2022)
- CAIS Industry Testing Checkpoint Call (September 28, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2022
FAQ
Q36. Is there a record limit for files submitted to CAT CAIS through SFTP?

Topics

Q. Customer and Account Information
09/22/2022
Event
CAIS Industry Testing Checkpoint Call (September 21, 2022)
- CAIS Industry Testing Checkpoint Call (September 21, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
CAT CAIS Technical Specification Working Group - September 20, 2022
- CAT CAIS Technical Specification Working Group (September 20, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
09/20/2022
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r9.2 (Clean)
09/15/2022
Event
CAIS Industry Testing Checkpoint Call (September 14, 2022)
- CAIS Industry Testing Checkpoint Call (September 14, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/09/2022
Reference Material
September 8, 2022 Letter to SEC- Proposed Amendment to Reporter Agreement and Reporting Agent Agreement
09/07/2022
Event
CAIS Industry Testing Checkpoint Call (September 07, 2022)
- CAIS Industry Testing Checkpoint Call (September 07, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

Pagination

« First
‹ Previous
…
23
24
25
26
27
28
29
30
31
…
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