Latest Updates | CATNMSPLAN

08/27/2020
FAQ| Q. Customer and Account Information
Q30. Where can I find more information on the SEC Large Trader Requirements?
08/27/2020
FAQ| I. Foreign Securities
I3. If an order in a foreign security that is an OTC Equity Security is broken up and executed across multiple markets, i.e., part of the order is executed in the US and part of the order is executed and reported in the foreign market, what are the CAT reporting obligations?
08/27/2020
FAQ| E. Order Routing and Execution
E5. This FAQ has been retired and archived. Please refer to FAQ E2.
08/27/2020
FAQ| Q. Customer and Account Information
Q24. Do Reporting Agents need to certify separately from the BDs they are supporting?
08/26/2020
Technical Specifications
Technical Specifications for IDQS v1.0 r2
08/26/2020
Event
Weekly CAIS/LTID Industry Testing Checkpoint Call (8/26/2020)
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/25/2020
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.1.1
08/20/2020
Event
Industry Member Compliance Report Card
08/19/2020
Event
Interfirm Linkage Overview (8/19/2020)
08/18/2020
Event
Weekly Industry Testing Checkpoint Call (8/18/2020)
08/17/2020
Basic page
CAIS Registration & Onboarding
08/12/2020
Technical Specifications
Industry Member Reporting Scenarios v3.4 (Redlined)
08/12/2020
Event
LTID Submission Webinar (8/12/2020)

« First
‹ Previous
…
58
59
60
61
62
63
64
65
66
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].