Erroneous Events Self Reporting Form
- This form is for the reporting of erroneous events and CAT reporting errors that are not identified in data integrity validations, and that fall outside the scope of sections 7.6 (Corrections) and 6.4.3 (Deadline for Firm Initiated Corrections and Deletions) of the CAT Reporting Technical Specifications for Industry Members. Corrections submitted within the T+3 time window should be submitted directly through the CAT Reporter Portal and not reported to FINRA CAT on this form. CAT Reporters should file Part I of this form upon discovery of the erroneous reporting, and provide supplemental information in Part II of this form to FINRA CAT as it becomes available. Forms should be emailed to the FINRA CAT Helpdesk ([email protected]) and must include a reference to "Erroneous Events Self-Report" in the subject line.
Customer and Account Reporting Disclosure Form (Link to Form)
Sample Customer and Account Reporting Disclosure Form (PDF for reference)
- The Customer and Account Reporting Disclosure Form is used for two purposes: (1) Type 1 Disclosure (optional): To self-report issues related to an Industry Member’s Customer and Account Information (“CAIS”) submissions (e.g., erroneously reported Customer and Account Information, non-reporting or other data issues) and (2) Type 2 Disclosure (required): To notify FINRA CAT of changes in Firm Designated ID (“FDID”) associated with a trading account prior to such information being reported to CAT CAIS.
Self Reporting Clock Synchronizations Deviation Form
- This form is for self-reporting deviations of clock synchronization consistent with the standards as detailed in
CAT Alert 2020-02
(Standards For Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT). The completed self-reporting form should be emailed to the FINRA CAT Helpdesk ([email protected]) and must include a reference to “Clock Sync Self-Report” in the subject line.
2021 CAT Clock Certification Form
- This form is for certification regarding Business Clock Synchronization. The CAT compliance rule series requires each Industry Member to certify that its Business Clocks satisfy the synchronization requirements described herein periodically in accordance with the certification schedule established by the Operating Committee of the CAT NMS Plan. The Operating Committee determined that such certifications should be made annually. Accordingly, as previously expressed to the industry, Industry Members must complete a certification in the form attached hereto that covers all Business Clocks by March 15 of each year.
ATS NBBO Source Change Form
- This form is for the purpose of complying with FINRA Rule 4554 for the purpose of CAT reporting. FINRA Rule 4554, requires ATSs using an alternative NBBO feed from what was reported on its ATS data submission to notify FINRA of the fact that an alternative source was used, identify the alternative source, and specify the date(s), time(s) and securities for which the alternative source was used. Industry Members should submit this form to FINRA CAT Helpdesk via email at [email protected].