Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Dec
18
Monthly CAT Update (December 18, 2025)
04:15PM EST
Add To My Calendar
Displaying 1301 - 1310 of 1542 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
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
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
11/15/2018
FAQ
O6.
Are back-up circuits required for reporting to CAT via SFTP?
Topics
O. Technical Requirements
11/15/2018
FAQ
O8.
What are the Web addresses used to transfer CAT data?
Topics
O. Technical Requirements
11/15/2018
FAQ
O10.
Can files be sent to CAT using SFTP via the Internet?
Topics
O. Technical Requirements
11/15/2018
FAQ
O12.
Can records submitted via the CAT Web Portal be saved?
Topics
O. Technical Requirements
11/15/2018
FAQ
O13.
Where can the status of the CAT system be found?
Topics
O. Technical Requirements
11/15/2018
FAQ
N2.
If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N3.
May an Industry Member use more than one third party to transmit data on its behalf to CAT?
Topics
N. Third Party Reporting
11/15/2018
FAQ
N4.
Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
Topics
N. Third Party Reporting
11/15/2018
FAQ
H2.
Must a FINRA member ATS use its ATS MPID to report ATS activity to CAT?
Topics
H. ATS
11/15/2018
FAQ
H6.
How should an ATS report NBBO (or other relevant reference price) information if the NBBO is invalid or one sided at the time the ATS referenced the NBBO (or other relevant reference price)?
Topics
H. ATS
Pagination
«
« First
‹
‹ Previous
…
127
128
129
130
131
132
133
134
135
…
›
Next ›
»
Last »