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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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Displaying 101 - 110 of 1453 results
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A. General
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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
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R. Clock Synchronization
S. Security
T. Production Readiness Testing
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03/21/2024
Event
Monthly CAT Update (March 21, 2024)
Monthly CAT Update (March 21, 2024) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
03/20/2024
Event
CAT Technical Specifications Working Group - March 19, 2024
FDID Validation on Transaction Data - March 19, 2024 (Presentation)
Auction Instructions - March 19, 2024 (Presentation)
Audio file
03/13/2024
FAQ
E32.
What handling instructions must be applied to order events designated for participation in auctions?
Topics
E. Order Routing and Execution
03/13/2024
Event
CAIS Industry Testing Checkpoint Call (March 13, 2024)
CAIS Industry Testing Checkpoint Call (March 13, 2024) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
03/13/2024
FAQ
K26.
Are any handling instructions required when a paired options order is routed to an options exchange and the exchange member is willing to meet price improvement offered by other exchange participants?
Topics
K. Options
03/08/2024
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.1.0 r3 (Clean)
03/07/2024
Reference Material
Industry Member Onboarding Guide v1.24
Topics
A. General
03/07/2024
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.17
Topics
A. General
02/29/2024
Reference Material
CAT CAIS Industry Member Reporting Scenarios v2.4
02/29/2024
Announcement
2024 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)
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