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Finra Cat Reporter Portal

Link van Finra Cat Reporter Portal pagina wordt hieronder gegeven. Pagina's met betrekking tot Finra Cat Reporter Portal worden ook vermeld.

Laatst bijgewerkt: 2022-02-05 08:16:53

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Toegevoegd door: Hai Rong Yue

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CAT | FINRA.org

Regulatory Obligations and Related Considerations Regulatory Obligations FINRA and the national securities exchanges have adopted rules requiring their members to comply with Exchange Act Rule 613 and the CAT NMS Plan FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) (collectively, CAT Rules), which cover reporting to the CAT; clock synchronization; time …
Url: https://www.finra.org/rules-guidance/guidance/reports/2021-finras-examination-and-risk-monitoring-program/cat
CAT | FINRA.org

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Toegevoegd door: Adam Gee

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CAT Reporter Portal & Reference Data - CATNMSPLAN

5 FINRA CAT systems utilize multi-factor authentication, or MFA, for human user accounts, to provide an additional layer of security beyond the User ID and password required for login. Second-level authentication is provided by Duo, and CAT Reporter users must enroll a smart phone or tabletin the Duo service to initiate the authentication process and to use this
Url: https://catnmsplan.com/sites/default/files/2020-01/CAT-Reporter-Portal-November-18-Webinar-and-Demo.pdf
CAT Reporter Portal & Reference Data - CATNMSPLAN

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Toegevoegd door: Nicole Jenkins

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Industry Member CAT Reporter Portal User Guide

The Industry Member CAT Reporter Portal(“Portal”) is a web-based tool that allows CAT Reporters to monitor and manage data submissions to CAT. The Portal includes end-to-end capability for providing complete and accurate data to CAT, including the ability to manually enter and upload data, monitor all submissions, and review and correct errors.
Url: https://www.catnmsplan.com/sites/default/files/2020-02/IM-Reporter-Portal-User-Guide_11042019.pdf
Industry Member CAT Reporter Portal User Guide

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Toegevoegd door: Paul Eustace

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FINRA: Login

All rights reserved. FINRA CAT is a trademark of Financial Industry Regulatory Authority, Inc.
Url: https://ews-public.fip.catnms.com/auth/logon
FINRA: Login

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Toegevoegd door: Clarke Doyle

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CAT Registration | FINRA.org

CAT Reporter Portal Securities Traded. Equities Options Small Broker Dealer (BD) Yes, we have total capital of less than $500,000 No OATS Reporter. Yes No Declare Default CAT ... FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, ...
Url: https://www.finra.org/cat-registration
CAT Registration | FINRA.org

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Toegevoegd door: Christine Heart Savage

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Industry Member CAT Reporter Portal User Guide

01-07-2021 · The Industry Member CAT Reporter Portal(“Portal”) is a web-based tool that allows CAT Reporters to monitor and manage data submissions to CAT. The Portal includes end-to-end capability for providing complete and accurate data to CAT, including the ability to manually enter and upload data, monitor submissions, and review and correct errors.
Url: https://www.catnmsplan.com/sites/default/files/2021-07/7.1.2021-IM-Reporter-Portal-User-Guide_1.4.pdf
Industry Member CAT Reporter Portal User Guide

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Toegevoegd door: Gustavo Olivera

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Consolidated Audit Trail | CATNMSPLAN

27-01-2022 · On July 11, 2012, the U.S. Securities and Exchange Commission (SEC) voted to adopt Rule 613 under Regulation NMS requiring the national securities exchanges and national securities associations listed here (collectively, the SROs) to submit an NMS plan (Plan) to the SEC to create, implement, and maintain a consolidated audit trail (CAT).
Url: https://www.catnmsplan.com/
Consolidated Audit Trail | CATNMSPLAN

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Toegevoegd door: Brian Howe

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Consolidated Audit Trail (CAT) | FINRA.org

17-06-2021 · CAT Reporting Obligations FINRA is reminding all members, regardless of size, that receive or originate orders in NMS stocks, OTC equity securities or listed options that they will be required to report to CAT. Further all proprietary trading activity, including market making activity is subject to CAT reporting.
Url: https://www.finra.org/rules-guidance/key-topics/consolidated-audit-trail-cat
Consolidated Audit Trail (CAT) | FINRA.org

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CAIS Registration & Onboarding - CATNMSPLAN

12-08-2020 · This webpage provides information for CAT Reporters on how to gain access to the CAT CAIS Reporter Portal Test and Production environments for the first time. Industry Members and CAT Reporting Agents that report to CAT on behalf of Industry Members must complete all onboarding steps to gain access to CAT, including: Register for CAT CAIS .
Url: https://www.catnmsplan.com/cais-registration
CAIS Registration & Onboarding - CATNMSPLAN

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Toegevoegd door: Cat® Products

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Service - Customer Portal

Service - Customer Portal

Toegevoegd door: Foreside

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Compliance Connections Webinar: The Nine Lives of CAT: FINRA’s New Order Reporting System

Compliance Connections Webinar: The Nine Lives of CAT: FINRA’s New Order Reporting System

Toegevoegd door: WOOD TV8

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Bill Steffen's cats get feisty during the forecast

Bill Steffen's cats get feisty during the forecast

Toegevoegd door: OTC Markets Group

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CAT Phase 2d OTC Link ATS Reporting Obligations

CAT Phase 2d OTC Link ATS Reporting Obligations

Toegevoegd door: Joppengming Vlgz

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Huge Cat Fight behind Reporter (Doris Bigornia) during Philippines TV live interview :D :D

Huge Cat Fight behind Reporter (Doris Bigornia) during Philippines TV live interview :D :D

Toegevoegd door: FTFNews06

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CAT Got Your Data?

CAT Got Your Data?

Toegevoegd door: FINRA

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FINRA Hosts First RegTech Conference

FINRA Hosts First RegTech Conference

Toegevoegd door: OTC Markets Group

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CAT Phase 2c Reporting Requirements for OTC Link ATS Subscribers

CAT Phase 2c Reporting Requirements for OTC Link ATS Subscribers

Toegevoegd door: FTFNews06

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CAT Got Your Data?

CAT Got Your Data?

Toegevoegd door: McGuireWoods LLP

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What to Expect in the Governance of Markets Post-CAT Implementation

What to Expect in the Governance of Markets Post-CAT Implementation
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