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 671 - 680 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

08/02/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r10
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1 (Redlined)

Topics

Q. Customer and Account Information
07/28/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r3
07/28/2021
Technical Specifications
CAT CAIS Industry Member Reporting Scenarios v1.2.1
07/27/2021
FAQ
J5. The Industry Member Technical Specifications state that “If the status of a quote that was sent by an Industry Member to an Industry Member inter-dealer quotation system is changed as a result of an automatic process, then a Quote Status event is only required to be reported by the inter-dealer quotation system.” How is an ‘Automatic Process’ defined for the purpose of reporting Quote Status events to CAT?

Topics

J. OTC Equity Securities
07/27/2021
Event
CAT CAIS Technical Specification Working Group Q&A - July 27, 2021
- CAT CAIS Technical Specification Working Group Q&A (7/27/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
07/22/2021
Event
Multi-Leg/Complex Option Order (July 21, 2021)
- Multi-Leg/Complex Option Order (July 21, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

K. Options
07/22/2021
Announcement
2021 Business Clock Synchronization Survey

Topics

B. Reporting Requirements
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
- Monthly CAT Implementation Update (7/15/21)- Presentation
- OATS Retirement Status Update (7/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/16/2021
Technical Specifications
Industry Member Reporting Scenarios v4.5

Topics

B. Reporting Requirements

Pagination

« First
‹ Previous
…
64
65
66
67
68
69
70
71
72
…
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