Skip to main content
Content type
Announcement
CAT Alert
Event
FAQ
other
Reference Material
Timeline Activity
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
X. Reference Database
All Topics
Year
- Any -
2026
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Newsletters
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
CAT Fee Disputes
Reporter Portal
Access Information
Content type
Announcement
CAT Alert
Event
FAQ
other
Reference Material
Timeline Activity
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
X. Reference Database
All Topics
Year
- Any -
2026
2025
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
Displaying 91 - 100 of 1636 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
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
X. Reference Database
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
05/05/2026
FAQ
X16.
How must an FDID Record be reported to the Reference Database when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.
Topics
X. Reference Database
05/05/2026
FAQ
T7.
This FAQ has been retired and archived.
Topics
T. Production Readiness Testing
05/05/2026
FAQ
X7.
FAQ B53 states that account transfers between broker-dealers are not orders, as defined by Rule 613. How should such activity be reflected in the Reference Database?
Topics
X. Reference Database
05/05/2026
FAQ
X1.
Can an Industry Member submit the same record to the Reference Database every business day? Or should the Industry Member submit only a delta record? For example, if a record is submitted on T and nothing changes, can the same record be submitted on T+1, T+2, etc.? Or should the Industry Member only resubmit the record if a required data element changes?
Topics
X. Reference Database
05/05/2026
FAQ
X10.
What date should Industry Members use to populate the “end date” fields (e.g., fdidEndDate, roleEndDate) when an event has triggered the closure of an account? For example, when a minor reaches the age of majority for a custodial account (e.g., UGMA/UTMA) or upon the death of an account holder for a beneficiary account, how should Industry Members populate these fields?
Topics
X. Reference Database
05/05/2026
FAQ
M16.
This FAQ has been retired and archived.
Topics
M. Firm Designated ID
05/05/2026
FAQ
X9.
Are regulators expecting complete accuracy with respect to the roleEndReason field?
Topics
X. Reference Database
05/05/2026
FAQ
M1.
What are the circumstances under which a firmDesignatedID value representing a single, unique account, relationship or entity identifier can change over time?
Topics
M. Firm Designated ID
05/04/2026
Reference Material
Reference Database Onboarding Guide v1.0
04/30/2026
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.2.0 (Clean)
Pagination
«
« First
‹
‹ Previous
…
6
7
8
9
10
11
12
13
14
…
›
Next ›
»
Last »