Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

All 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

W. Fee Dispute Resolution

Sort by

Order

Subscribe

P. Feedback and Error Correction

This section provides information related to CAT file and data submission feedback and the error correction process.

UPCOMING EVENT

Dec

19

Monthly CAT Update (December 19, 2024)

04:15PM EST

Add To My Calendar

Displaying 251 - 260 of 276 results

Filter by Content Type

Filter by Topic

All 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

W. Fee Dispute Resolution

Sort by

Order

06/18/2019
FAQ
P12. Can accepted data be viewed in CAT?

Topics

P. Feedback and Error Correction
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
- IM Tech Spec Updates
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
03/12/2019
FAQ
P16. What is the T+3 error correction timeframe based on (e.g., submission date, original error date, etc.)? Example: if an order event is submitted on T and is rejected on that day, then corrected on T+1 but the correction on T+1 fails, is the event on T considered "corrected" or does the T+1 rejection need to be addressed and, if so, when?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P7. Can previously accepted records be deleted?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P14. If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P2. What will happen if order information is submitted for a security that is not CAT reportable?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P3. If one record in a file is rejected, will the whole file be rejected?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P15. What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P11. Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?

Topics

P. Feedback and Error Correction
11/15/2018
FAQ
P1. How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?

Topics

P. Feedback and Error Correction

Pagination

« First
‹ Previous
…
20
21
22
23
24
25
26
27
28
Next ›
Last »

Need Help?

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

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy