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

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Jan

22

Monthly CAT Update (January 22, 2026)

04:15PM EST

Add To My Calendar

Displaying 551 - 560 of 1550 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

01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
- Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/06/2022
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (January 5, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
01/06/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r13
01/04/2022
Announcement
2022 Annual Clock Synchronization Certification

Topics

R. Clock Synchronization
12/22/2021
Event
Industry Testing Checkpoint Call (December 21, 2021)
- Industry Testing Checkpoint Call (December 21, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
12/21/2021
Event
CAT Technical Specification Working Group - December 21, 2021
- CAT Technical Specification Working Group Technical Specifications Updates (December 21, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

D. Order Receipt
12/20/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r12
12/17/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members Appendix E

Topics

B. Reporting Requirements
12/17/2021
Technical Specifications
Appendix E - Region Codes
12/16/2021
Event
Monthly CAT Implementation Update (December 15, 2021)
- Monthly CAT Implementation Update (December 15, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

Pagination

« First
‹ Previous
…
52
53
54
55
56
57
58
59
60
…
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