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

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Jul

18

Monthly CAT Update (July 18, 2024)

04:15PM EDT

Add To My Calendar

Displaying 1261 - 1270 of 1385 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

Sort by

Order

Timeline Activity
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Test Environment opens for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Production Environment Go-Live for Equities 2a Exchange and TRF Linkage validations
Release 4 - TRF/Exchange Linkage
Timeline Activity
Test Environment opens for file submission and data integrity validations
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Test Environment opens for Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Production Environment Go-Live for Options 2b Intrafirm Linkage validations
Release 2 - Intrafirm Linkage
Timeline Activity
Test Environment opens for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Production Environment Go-Live for Firm to Firm Linkage validations
Release 3 - Interfirm Linkage
Timeline Activity
Test Environment opens for Options 2b Exchange Linkage validations
Release 4 - TRF/Exchange Linkage

Pagination

« First
‹ Previous
…
123
124
125
126
127
128
129
130
131
…
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