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

Apr

17

Monthly CAT Update (April 17, 2025)

04:15PM EDT

Add To My Calendar

Displaying 321 - 330 of 346 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

03/13/2018
FAQ
B6. Are CAT Reporters required to report to the CAT quotes received via subscriptions to receive market data from market data vendors (such as exchanges or market data aggregators)?

Topics

B. Reporting Requirements
02/13/2018
FAQ
B4. Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?

Topics

B. Reporting Requirements
Event
CAT Technical Specification Working Group Q&A - 10/24/2019
- CAT Technical Specification Working Group Q&A - 10/24/2019 - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
Event
Industry Testing Checkpoint Call (2/2/2021)
- Industry Testing Checkpoint Call (2/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2019-02 - CAT Reporting Technical Specifications for Industry Members - Final

Topics

B. Reporting Requirements

O. Technical Requirements
Event
Daily Industry Testing Checkpoint Call (6/18/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/25/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Daily Industry Testing Checkpoint Call (6/15/2020)

Topics

B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0

Topics

B. Reporting Requirements

O. Technical Requirements
CAT Alert
CAT Alert 2018-001 – Industry Member Reporting Technical Specifications

Topics

B. Reporting Requirements

O. Technical Requirements

Pagination

« First
‹ Previous
…
27
28
29
30
31
32
33
34
35
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