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 881 - 890 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

11/17/2020
Event
Weekly Industry Testing Checkpoint Call (11/17/2020)
- Weekly Industry Testing Checkpoint Call (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/17/2020
Event
Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)
- Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
11/17/2020
FAQ
B67. FAQ B57 provides guidance on how the handlingInstructions field should be populated on the receipt/origination or route of Stop, Stop Limit, Stop on Quote, Stop Limit on Quote, Trailing Stop, and Trailing Stop Limit orders. In instances where it is known that the order is a Stop order, but the exact stop price is unknown because it is either based on an underlying condition or will be determined by the destination venue, then how should the Stop be reported in the handlingInstructions?

Topics

B. Reporting Requirements
11/10/2020
Event
Weekly Industry Testing Checkpoint Call (11/10/2020)
- Weekly Industry Testing Checkpoint Call (11/10/2020)-Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/10/2020
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r2
11/06/2020
Technical Specifications
Industry Member Reporting Scenarios v2.9
11/06/2020
Technical Specifications
Industry Member Reporting Scenarios v3.6
11/06/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r8
11/06/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r7
11/06/2020
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r3

Pagination

« First
‹ Previous
…
85
86
87
88
89
90
91
92
93
…
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