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

B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

UPCOMING EVENT

Jan

16

Monthly CAT Update (January 16, 2025)

04:15PM EST

Add To My Calendar

Displaying 161 - 170 of 345 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

02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
- Monthly CAT Implementation Update (2/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/16/2021
Event
CAT Technical Specification Working Group Q&A - 2/16/21
- Technical Specifications Updates Presentation - 2/16/21
- CAT Technical Specification Working Group Q&A - 2/16/21
Audio file

Topics

B. Reporting Requirements
01/26/2021
FAQ
B70. How should the price and eventTimestamp fields be populated on a Trade Event (MEOT) for a trade priced at the Net Asset Value (NAV)?

Topics

B. Reporting Requirements
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
- Monthly CAT Implementation Update (1/21/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2021
Event
CAT Technical Specification Working Group Q&A - 1/19/21
- Technical Specifications Updates Presentation - 1/19/21
- CAT Technical Specification Working Group Q&A - 1/19/21
Audio file

Topics

B. Reporting Requirements
01/19/2021
Event
Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)
- Phase 2c Cutover- Part 2 and Weekly Industry Testing Checkpoint Call (1/19/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
01/12/2021
FAQ
B21. How should Exchange for Physicals ("EFP") transactions be reported to CAT?

Topics

B. Reporting Requirements
01/12/2021
Event
Weekly Industry Testing Checkpoint Call (1/12/2021)
- Weekly Industry Testing Checkpoint Call (1/12/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
01/12/2021
FAQ
B63. How should the initiator field be populated if an Industry Member modifies or cancels an order based on implicit customer instructions communicated with the order, such as with certain ATS order types, as well as for actions initiated by the Industry Member unilaterally as a direct result of customer modifications or cancellations?

Topics

B. Reporting Requirements
01/05/2021
Event
Weekly Industry Testing Checkpoint Call (1/5/2021)
- Weekly Industry Testing Checkpoint Call (1/5/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

Pagination

« First
‹ Previous
…
13
14
15
16
17
18
19
20
21
…
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