As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year.
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This announcement affects all Industry Members testing in the Test Environment on October 20, 2021 and October 21, 2021.
Cboe’s C1 Option Exchange is introducing Global Trading Hours, where trading cycles will span multiple calendar days and trading can occur on non-trading days, such as Sundays and US holidays. FINRA CAT is making changes to our processing to ensure proper assignment of trade date and linkage across trading cycles.
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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).
TopicsFINRA CAT requests Industry Member feedback in support of the Plan Processor’s annual review of the Business Clock requirements for the Consolidated Audit Trail. FINRA CAT has prepared a survey of 32 questions for Industry Members to complete regarding their current clock synchronization standards and practices, based on the type of CAT Reporter, type of Industry Member and type of system.
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The 2020 audited financial statements for Consolidated Audit Trail, LLC are available upon request at [email protected].
Topics The login User Interface will be updated on June 20, 2021 to provide a simpler, more consistent experience across various applications and platforms.
TopicsOn May 18, 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.
TopicsOn 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.
TopicsThe 2019 audited financial statements for CAT NMS, LLC and Consolidated Audit Trail, LLC are available upon request at [email protected].
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