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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
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Displaying 831 - 840 of 1453 results
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08/27/2020
FAQ
Q25.
If my firm is a broker-dealer (CRD) that uses a Reporting Agent to report into CAT CAIS, does my firm need to certify separately if we have CAIS-reportable activity?
Topics
Q. Customer and Account Information
08/27/2020
FAQ
Q29.
Do proprietary trading firms that do not handle customer orders have an obligation to report to CAT CAIS?
Topics
Q. Customer and Account Information
08/27/2020
FAQ
Q30.
Where can I find more information on the SEC Large Trader Requirements?
Topics
Q. Customer and Account Information
08/27/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Allocations
08/27/2020
FAQ
E5.
How should orders routed to another market participant but not accepted by that market participant be reported to CAT?
Topics
E. Order Routing and Execution
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
08/26/2020
Technical Specifications
Technical Specifications for IDQS v1.0 r2
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
Weekly Industry Testing Checkpoint Call (8/25/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
Topics
A. General
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1
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