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 311 - 320 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

06/23/2022
Event
CAIS Industry Testing Checkpoint Call (June 22, 2022)
- CAIS Industry Testing Checkpoint Call (June 22, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/21/2022
Event
CAT CAIS Technical Specification Working Group - June 21, 2022
- CAT CAIS Technical Specification Working Group (June 21, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
06/16/2022
Event
CAIS Industry Testing Checkpoint Call (June 15, 2022)
- CAIS Industry Testing Checkpoint Call (June 15, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/14/2022
Event
CAT CAIS Technical Specification Working Group - June 14, 2022
- CAT CAIS Technical Specification Working Group (June 14, 2022) - Presentation
- CAT CAIS Technical Specification Working Group (June 14, 2022) - Q & A
Audio file

Topics

Q. Customer and Account Information
06/13/2022
Governance
Notice of Filing of Exemptive Request Letter Related to Verbal Floor and Upstairs Activity
06/09/2022
Event
CAIS Industry Testing Checkpoint Call (June 8, 2022)
- CAIS Industry Testing Checkpoint Call (June 8, 2022) - presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
06/07/2022
Reference Material
Linkage Summary Feedback File – CSV Sample
06/07/2022
Reference Material
Linkage Summary Feedback File – JSON Sample
06/06/2022
Reference Material
CAT NMS LLC 2021 and 2020 Financial Statements
06/02/2022
Event
CAIS Industry Testing Checkpoint Call (June 1, 2022)
- CAIS Industry Testing Checkpoint Call (June 1, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

Pagination

« First
‹ Previous
…
28
29
30
31
32
33
34
35
36
…
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