Announcements

FINRA 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.

The 2020 audited financial statements for Consolidated Audit Trail, LLC are available upon request at [email protected]. 

The login User Interface will be updated on June 20, 2021 to provide a simpler, more consistent experience across various applications and platforms. 

On 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. 

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. 

The 2019 audited financial statements for CAT NMS, LLC and Consolidated Audit Trail, LLC are available upon request at [email protected]. 

2020 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. 

Consolidated Audit Trail, LLC (CAT LLC) extends condolences to the family and FINRA colleagues of Thomas Gira upon his passing.