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UPCOMING EVENT
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Monthly CAT Update (December 19, 2024)
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10/26/2020
FAQ
A34.
Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?
Topics
A. General
10/26/2020
FAQ
Q38.
Why is there a question on the CAT CAIS Registration Form asking for a Legal Entity Identifier (LEI)?
Topics
Q. Customer and Account Information
10/26/2020
FAQ
D34.
FAQ D30 states that material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, are required to be reported to CAT. How must such instructions, including standing instructions, firm-wide defaults, or port- or connection-level defaults, be reported?
Topics
D. Order Receipt
10/22/2020
Event
Outbound Router Industry Webinar (10/21/20)
Outbound Router Industry Webinar (10/21/20)- Presentation
Audio file
Topics
B. Reporting Requirements
10/20/2020
Event
Weekly Industry Testing Checkpoint Call (10/20/2020)
Weekly Industry Testing Checkpoint Call (10/20/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
CAT Technical Specification Working Group Q&A - 10/20/20
Audio file
Topics
B. Reporting Requirements
U. Allocations
10/19/2020
CAT Alert
CAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CAT
Topics
R. Clock Synchronization
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
Monthly CAT Implementation Update (10/15/20)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
10/14/2020
Event
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)
Biweekly CAIS/LTID Industry Testing Checkpoint Call (10/14/2020)- Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
10/13/2020
Event
Weekly Industry Testing Checkpoint Call (10/13/2020)
Weekly Industry Testing Checkpoint Call (10/13/2020)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
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