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X. Reference Database
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A. General
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07/23/2026
Newsletter
Monthly CAT Update Newsletter: July 2026
Monthly CAT Update (July 23, 2026) - Newsletter
Topics
A. General
B. Reporting Requirements
V. CAT Billing
X. Reference Database
06/22/2026
Newsletter
Monthly CAT Update Newsletter: June 2026
Monthly CAT Update (June 22, 2026) - Newsletter
Topics
A. General
B. Reporting Requirements
V. CAT Billing
X. Reference Database
06/22/2026
Technical Specifications
(In Production effective 12/07/2026) Reference Database Technical Specifications v1.0.0 (Clean)
Topics
X. Reference Database
06/02/2026
Event
Reference Database Industry Webinar (June 2, 2026)
Reference Database Industry Webinar (June 2, 2026) - Presentation
Audio file
Topics
X. Reference Database
05/21/2026
Newsletter
Monthly CAT Update Newsletter: May 2026
Monthly CAT Update (May 21, 2026) - Newsletter
Topics
A. General
B. Reporting Requirements
V. CAT Billing
X. Reference Database
05/05/2026
FAQ
X8.
In a Mass Transfer of FDIDs across Industry Members, what constitutes an “Active Account” required to be reported to the Reference Database by the acquiring firm and when is it required to be reported to the Reference Database?
Topics
X. Reference Database
05/05/2026
FAQ
X3.
When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
Topics
X. Reference Database
05/05/2026
FAQ
X13.
Must the Industry Member be identified as a CAT Customer on the related FDID Record in the Reference Database when there are standing instructions on the CAT Customer’s account, when the Industry Member originates an order in a CAT Customer’s account to satisfy a legal requirement or SEC/SRO rule or when the Industry Member liquidates fractional shares held in a CAT Customer’s account to facilitate operational processes?
Topics
X. Reference Database
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?
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X. Reference Database
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