Latest Updates | CATNMSPLAN

08/16/2024
Event
Industry Member CAIS Report Card Webinar (August 15, 2024)
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
08/15/2024
Basic page
CAT Fee Alerts
08/08/2024
FAQ| A. General
A11. How does the CAT funding model set forth in the CAT NMS Plan work?
08/08/2024
FAQ| V. CAT Billing
V10. When will the first CAT invoices be issued?
08/08/2024
FAQ| V. CAT Billing
V23. How will transactions in fractional shares be treated under the funding model?
08/08/2024
FAQ| V. CAT Billing
V4. How is a CAT Executing Broker’s CAT fee calculated?
08/08/2024
FAQ| V. CAT Billing
V1. How is the cost of the CAT being funded?
08/08/2024
Reference Material
CAT Fee Alert 2024-2
08/08/2024
FAQ| V. CAT Billing
V12. When is the payment due for the monthly CAT invoice?
08/08/2024
FAQ| V. CAT Billing
V27. Will invoices be rounded to the nearest penny?
08/08/2024
FAQ| V. CAT Billing
V25. How would CAT fees be assessed with regard to ATSs?
08/08/2024
FAQ| V. CAT Billing
V6. How many types of CAT fees are there?
08/06/2024
Announcement
2024 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)
08/06/2024
Reference Material
SEC Approved CAT NMS Plan as of 7/31/2024

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