Latest Updates | CATNMSPLAN

02/11/2025
Event
CAT Transaction and CAIS Technical Specifications Working Group - February 11, 2025
02/10/2025
Reference Material
SEC Order Granting Extension of Temporary Exemptive Relief Related to Representative Orders
01/29/2025
FAQ| S. Security
S12. Is Industry Testing performed in a Production Environment?
01/29/2025
FAQ| S. Security
S3. What oversight mechanisms are in place so that the Plan Processor and the CAT System secure CAT data?
01/29/2025
FAQ| S. Security
S9. How can CAT Data be used?
01/29/2025
FAQ| S. Security
S7. This FAQ has been retired and archived. Please refer to FAQ S5.
01/29/2025
FAQ| S. Security
S6. What is Customer Account Information and Customer Identifying Information?
01/29/2025
FAQ| S. Security
S2. This FAQ has been retired and archived. Please see FAQ S4.
01/29/2025
FAQ| S. Security
S10. How does the Plan Processor protect the security of submitted data?
01/29/2025
FAQ| S. Security
S9. This FAQ has been retired and archived. Please refer to FAQ S8.
01/29/2025
FAQ| S. Security
S1. What steps are being taken to ensure that the CAT is secure given heightened cybersecurity concerns?
01/29/2025
FAQ| S. Security
S7. How does the CAT protect social security numbers?
01/29/2025
FAQ| S. Security
S4. This FAQ has been retired and archived. Please refer to FAQ S5.
01/29/2025
FAQ| S. Security
S4. What is the CAT?
01/29/2025
FAQ| S. Security
S11. What happens if there is unauthorized access to CAT Data?

« First
‹ Previous
1
2
3
4
5
6
7
8
9
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].