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

Announcements

Home

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

Displaying 51 - 52 of 52 results

02/20/2019
Annual Clock Synchronization Certification
Updated On: 06/18/2019
As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year.
UPDATED A copy of the certification form is available

Topics

R. Clock Synchronization
11/15/2018
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail

Topics

A. General

Pagination

« First
‹ Previous
1
2
3
4
5
6

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