8/8/2024
This CAT Fee Alert provides notice to Industry Members of the proposed implementation of Historical CAT Assessment 1, including the effective dates and the fee rate of $0.000013. This Historical CAT Assessment 1 replaces the prior Historical CAT Assessment 1 that was previously approved by the Operating Committee and previously filed with the Commission. Historical CAT Assessment 1 is separate from and will be in addition to CAT Fee 2024-1 and any other CAT fees implemented going forward.
8/1/2024
This CAT Alert provides notice to Industry Members of the proposed implementation of CAT Fee 2024-1, including the effective dates and the fee rate of $0.000035. CAT Fee 2024-1 is separate from and will be in addition to any Historical CAT Assessment to Industry Members.
Updated on 7/31/2024
This CAT Alert describes how FINRA CAT, LLC, as the Plan Processor acting on behalf of CATLLC, will calculate applicable fees, issue invoices to and collect payment from CAT Executing Brokers.