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 241 - 250 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

05/05/2020
FAQ
B52. Are American Depository Receipt (ADR) creations and cancellations required to be reported to CAT?

Topics

B. Reporting Requirements
05/05/2020
FAQ
B51. Are ETF creations and redemptions required to be reported to CAT?

Topics

B. Reporting Requirements
05/05/2020
FAQ
B50. Is the conversion of a convertible bond to an equity required to be reported to CAT?

Topics

B. Reporting Requirements
05/05/2020
Event
Weekly Industry Testing Checkpoint Call (5/5/2020)
- Weekly Industry Testing Checkpoint Call (5/5/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/28/2020
Event
Weekly Industry Testing Checkpoint Call (4/28/2020)
- Weekly Industry Testing Checkpoint Call (4/28/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/23/2020
Event
CAT Technical Specification Working Group Q&A - 4/23/20
- CAT Technical Specification Working Group Q&A 4/23/20- Presentation
- FDID- LTID Tech Spec Updates Summary
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
04/21/2020
Event
Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)
- Weekly Industry Testing Checkpoint Call & Status of 2a Go-Live (4/21/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/21/2020
CAT Alert
CAT Alert 2018-003 - IMID usage for CAT data submissions and in order routing events

Topics

B. Reporting Requirements

E. Order Routing and Execution
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
- Weekly Industry Testing Checkpoint Call (4/14/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/14/2020
FAQ
B8. How should an Industry Member report timestamps to the CAT if its order handling and order execution systems use different timestamp increments?

Topics

B. Reporting Requirements

Pagination

« First
‹ Previous
…
21
22
23
24
25
26
27
28
29
…
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