On April 1, 2021 the Participants of the CAT NMS Plan responded to comment letters in response to the proposed amendment to revise the CAT Reporter Agreement and CAT Reporting Agent Agreement.
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The 2021 Entitlement Certification Period for CAT Reporting Agents (Not Applicable to Industry Members) is scheduled for September 13, 2021 – November 15, 2021. During this period, each organization is required to review and verify all CAT accounts (user, administrator, machine).
TopicsThe 2019 audited financial statements for CAT NMS, LLC and Consolidated Audit Trail, LLC are available upon request at [email protected].
Topics2020 Entitlement Certification Period for CAT Reporting Agents (Not Applicable to Industry Members). FINRA CAT will launch an online Entitlement Certification Process for CAT Reporting Agents on October 13, 2020, which requires each organization to review and verify all CAT accounts (user, administrator, machine) by December 17, 2020. In order to certify accounts, each CRA must designate a Certification Representative (CRep) by September 25, 2020.
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Consolidated Audit Trail, LLC (CAT LLC) extends condolences to the family and FINRA colleagues of Thomas Gira upon his passing.
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Audited financial statements for CAT NMS, LLC from inception through 2018 are available, upon request at [email protected].
TopicsOn April 20, 2020, the SEC issued an exemptive order establishing a phased CAT reporting timeline for Industry Members.
On April 20, 2020, the SEC issued an exemptive order permitting introducing brokers that meet certain requirements to follow the Small Industry Member reporting timeline.