Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
Topics
A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Billing CAT Alert
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
Reporter Portal
Access Information
Content type
Announcement
CAT Alert
Event
FAQ
Reference Material
Timeline Activity
other
Topics
A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Latest Updates
Home
Subscribe
CAT Alert
CAT Alert 2018-001- Industry Member Reporting Technical Specifications
Event
Industry Testing Checkpoint Call (March 16, 2021)
Reference Material
Q1 2021 QPR
Basic page
Audited Financial Statements
Event
CAT Technical Specification Working Group Q&A - 10/24/2019
Timeline Activity
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Small Firms: Production Go-Live for Options 2d reporting requirements
Timeline Activity
Plan Participant UAT begins for Industry Test Release 1.2 (December 16 functionality)
Release 1 - File Submission and Data Integrity Validations
Event
Weekly Industry Checkpoint Call (3/24/2020)
Reference Material
Q4 2022 QPR
Timeline Activity
LTID Account Information Testing Environment Opens
Governance
Industry Recommendations for the Creation of a Consolidated Audit Trail (CAT) (3/28/13)
Event
Daily Industry Testing Checkpoint Call (6/25/2020)
Reference Material
CAT LLC Shares Condolences in Passing of FINRA Executive and Market Regulation Veteran Thomas Gira
Reference Material
Q3 2020 QPR
Pagination
«
« First
‹
‹ Previous
…
87
88
89
90
91
92
93
94
95
…
›
Next ›
»
Last »