FIF - Financial Information Forum

CAT Counterparty Contact Utility

New
Filter 
Exchange Info
Broker Name Business Line [IMID] CAT Contact - Name Email Phone # CRD #
Ferretti Group, Inc. SS&C FMG Compliance* CATservice@ezesoft.com 312-442-8122 47768
Ferretti Group, Inc. James Augustyn* help@s3.com 661-418-7329 47768
Fidelity Investments NFSC/XSTM Brian Blanche CATBusiness@fmr.com 904-595-5614 13041
Fidessa Corporation
Fieldpoint Private Securiies, LLC.
Fifth Third Securities, Inc.
Fillmore Advisors, LLC
Financial Northeastern Securities
FINANCIAL SCIENCES, INC.
Financorp Group International Corporation
Finnovations Inc.
First Allied Securities
First Analysis Securities Corporation
First Asset Financial Inc.
First Bankers' Banc Securities, Inc.
First Citizens Investor Services
First Command Financial Services, Inc.
First Dallas Securities, Inc. SS&C FMG Compliance* FMG-Compliance@sscinc.com (844) 662-2977 24549
First Financial Equity Corporation
First Georgetown Securities Inc

 

Terms of Acceptable Use

The Utility is restricted to persons (“Authorized Users” or “Users”) employed by or act as a CAT Reporting Agent (“Agent”) of a CAT Reporting Broker.1   The sole purpose of the Utility is to provide Brokers and/or their Agent(s) with a centralized repository of CAT contact information to facilitate and accelerate the CAT interfirm exception reconciliation process.    

Authorized Users are limited to 1) the Requestor; and 2) the firm’s Agent.  Access to the Utility is conditioned upon the following:  1) the Requestor is a current employee of a CAT Reporting Broker or it’s Agent; 2) the Requestor and (if applicable) their Agent agrees to any and all Provisions of the Terms of Acceptable Use, Disclaimer, and any other guidelines the Financial Information Forum (“FIF”) has or will publish regarding appropriate use of the Utility ; 3) the requestor provides FIF with their firm’s CAT contact information, if not previously provided; 4) if the Broker outsources CAT Error Reconciliation obligations to a vendor, the Requestor may provide the contact details of that vendor;  5) the User agrees to immediately inform FIF should the User’s or Agent’s employment/contract at the broker of record be terminated, whether voluntary or otherwise; 6) the User acknowledges that User access to the Utility is granted to the User only, not the firm.  The User agrees not to share login credentials with any other person for any reasons  

Disclaimer

The Financial Information Forum (“FIF”) and its affiliates, partners, members, and individual subscribers disclaim all liability resulting from all claims, losses or damages, whether direct, indirect, incidental, or consequential arising from any and all use of the Utility.  FIF is not responsible for any errors or omissions in the information contained in or accessed through the Utility. All such information in the Utility is self-reported by Brokers and is provided “as is.” FIF and its affiliates make no warranties or representations and disclaim all express, implied and statutory warranties of any kind to any party resulting from the use of the Utility.  

Contact

Financial Information Forum

212-422-8568
fifinfo@fif.com
Privacy Policy

Who We Are

The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

What We Do

FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

Working Groups

FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
More here

© 2025 Financial Information Forum

Press enter to search
Impressum

Wir bieten unseren Kunden mit nützlichen Informationen und Ratschläge, die sie benötigen, fundierte Entscheidungen zu treffen, ihre Ziele zu erreichen. Ob es sich um die Verwaltung von Kundeninvestitionen oder einen umfassenden Plan für sie zu schaffen und ihre Familie sind unsere zertifizierten Planern gewidmet mit einem außergewöhnlichen Service zu bieten.

Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.

Terms and Conditions

  1. Introduction

These Website Standard Terms and Conditions written on this webpage shall manage your use of this website. These Terms will be applied fully and affect to your use of this Website. By using this Website, you agreed to accept all terms and conditions written in here. You must not use this Website if you disagree with any of these Website Standard Terms and Conditions.

Minors or people below 18 years old are not allowed to use this Website.

  1. Intellectual Property Rights

Other than the content you own, under these Terms, Buckle LLC and/or its licensors own all the intellectual property rights and materials contained in this Website.

You are granted limited license only for purposes of viewing the material contained on this Website.

  1. Restrictions

You are specifically restricted from all of the following

  • publishing any Website material in any other media;
  • selling, sublicensing and/or otherwise commercializing any Website material;
  • publicly performing and/or showing any Website material;
  • using this Website in any way that is or may be damaging to this Website;
  • using this Website in any way that impacts user access to this Website;
  • using this Website contrary to applicable laws and regulations, or in any way may cause harm to the Website, or to any person or business entity;
  • engaging in any data mining, data harvesting, data extracting or any other similar activity in relation to this Website;
  • using this Website to engage in any advertising or marketing.

Certain areas of this Website are restricted from being access by you and Buckle LLC may further restrict access by you to any areas of this Website, at any time, in absolute discretion. Any user ID and password you may have for this Website are confidential and you must maintain confidentiality as well.

  1. Your Content

In these Website Standard Terms and Conditions, “Your Content” shall mean any audio, video text, images or other material you choose to display on this Website. By displaying Your Content, you grant Buckle LLC a non-exclusive, worldwide irrevocable, sub licensable license to use, reproduce, adapt, publish, translate and distribute it in any and all media.

Your Content must be your own and must not be invading any third-party’s rights. Buckle LLC reserves the right to remove any of Your Content from this Website at any time without notice.

  1. No warranties

This Website is provided “as is,” with all faults, and Buckle LLC express no representations or warranties, of any kind related to this Website or the materials contained on this Website. Also, nothing contained on this Website shall be interpreted as advising you.

  1. Limitation of liability

In no event shall Buckle LLC, nor any of its officers, directors and employees, shall be held liable for anything arising out of or in any way connected with your use of this website whether such liability is under contract. Buckle LLC, including its officers, directors and employees shall not be held liable for any indirect, consequential or special liability arising out of or in any way related to your use of this Website.

  1. Indemnification

You hereby indemnify to the fullest extent Buckle LLC from and against any and/or all liabilities, costs, demands, causes of action, damages and expenses arising in any way related to your breach of any of the provisions of these Terms.

  1. Severability

If any provision of these Terms is found to be invalid under any applicable law, such provisions shall be deleted without affecting the remaining provisions herein.

  1. Variation of Terms

Buckle LLC is permitted to revise these Terms at any time as it sees fit, and by using this Website you are expected to review these Terms on a regular basis.

  1. Assignment

The Buckle LLC is allowed to assign, transfer, and subcontract its rights and/or obligations under these Terms without any notification. However, you are not allowed to assign, transfer, or subcontract any of your rights and/or obligations under these Terms.

  1. Entire Agreement

These Terms constitute the entire agreement between Buckle LLC and you in relation to your use of this Website, and supersede all prior agreements and understandings.

  1. Governing Law & Jurisdiction

These Terms will be governed by and interpreted in accordance with the laws of the State of New York, and you submit to the non-exclusive jurisdiction of the state and federal courts located in New York for the resolution of any disputes.

Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm