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

Mar

19

Monthly CAT Update (March 19, 2026)

04:15PM EDT

Add To My Calendar

Displaying 801 - 810 of 1563 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

03/09/2021
FAQ
B49. This FAQ has been retired and archived. Please refer to FAQ U26.

Topics

B. Reporting Requirements
03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
- CAT Technical Specification Working Group Q&A - 3/9/21
- March 2021 Technical Specification Updates - 3/9/21
Audio file

Topics

B. Reporting Requirements
03/09/2021
FAQ
J4. Does an Industry Member have to report a New Quote event (MENQ) for quotes in OTC equity securities that were originated prior to the date an Industry Member is required to begin reporting Phase 2d data to the CAT?

Topics

J. OTC Equity Securities
03/09/2021
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r1
03/09/2021
FAQ
B49. Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or assignment to CAT?

Topics

B. Reporting Requirements
03/05/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
- Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r11

Topics

B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r7

Topics

B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.10

Topics

B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.1

Topics

B. Reporting Requirements

Pagination

« First
‹ Previous
…
77
78
79
80
81
82
83
84
85
…
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