Resources

FIF Webinar: CAT Intra and Inter-Firm Linkages

FIF held a webinar on CAT Intra and Inter-Firm Linkages on Thursday, July  23rd. Specific topics included interfirm linkage testing, production timelines, tools made available by FINRA CAT, Industry-centric challenges and operational enhancements.  Panelists included Shelly Bohlin, FINRA CAT; Josh Beaton, Morgan Stanley; Katie Madison, FINRA; Michael Brooks, Oppenheimer; and Gregg Berman, Citadel. Please find the recording of the webinar here.

FIF Webinar: CAT Roundtable

FIF held a CAT Roundtable on Wednesday, June 17th.   Panelists included Shelly Bohlin, FINRA CAT; Ron Veith, JP Morgan; Dave Emero, Goldman Sachs;  Ron Jordan, Kingland Systems;  Mike Major, SIG; Will Leahey, Refinitiv; Mark Hendrickson, D.A. Davidson; and Merissa Billingsley, Fidessa

If you were not able to join the live webinar, you can stream the recording here

FIF Webinar: SEC Rule 606 Best Practice

FIF held a SEC Rule 606 Webinar on Thursday, May 7th at 3pm ET.   Panelists included Gregg Berman, Citadel; Ben Calev, Best Execution Solutions; Doug Craig, Fidessa; Mark Davies, S3; Mike Earlywine, Abel Noser and Howard Meyerson, Liquidnet.

If you were not able to join the live webinar, you can stream the recording here

CAT Milestone Timeline

Please find the current CAT Milestone Timeline here

FIX-to-CAT Mapping

 FIX to CAT Mapping – Identifies FIX extensions needed to address requirements related to data reporting required by the CAT NMS plan. Please find the spreadsheet here

FAQs

SEC FAQs

FINRA FAQs

CAT FAQs

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