Event Materials

On Monday, August 12, 2019, at 4:15 pm ET, FINRA CAT, LLC will provide an overview of the CAT Onboarding Guide. This session will cover the different steps in the CAT onboarding process from Registration through Testing and Certification. 

The event will be held at 4:15 pm ET.  Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. The presentation document and recording will be posted.

On Tuesday, July 16, 2019, at 4:30PM ET, Susquehanna International Group, LLP will be hosting CAT NMS, LLC and FINRA CAT, LLC for an in-person Consolidated Audit Trail Options Deep Dive. 

The event will be held at 4:30 pm ET at:

Susquehanna International Group, LLP  
401 E. City Avenue 
Bala Cynwyd, Pennsylvania 19004 
(Please allow adequate time to pass through security)

On Tuesday, June 4, 2019, at 4:15PM ET, CAT NMS LLC and FINRA CAT LLC will be hosting an in-person  Consolidated Audit Trail Options Deep Dive at the New York Stock Exchange. 

The event will be held at 4:15 pm ET at:

The New York Stock Exchange 
11 Wall Street 
New York, NY 10005 
(Please allow adequate time to pass through security)

Register For This Event

On Tuesday, June 11, 2019, at 1:30PM PT (4:30PM ET), CAT NMS LLC and FINRA CAT LLC will be hosting an in-person  Consolidated Audit Trail Options Deep Dive at the New York Stock Exchange. 

The event will be held at 1:30 pm PT at:

NYSE West  
120 Kearny Street 
San Francisco CA 94104 
(Please allow adequate time to pass through security)

On Wednesday, May 15, 2019, at 3:30PM CT, CAT NMS LLC and FINRA CAT LLC in coordination with Security Traders Association of Chicago (“STAC”) will be hosting an in-person  Consolidated Audit Trail Options Deep Dive in Chicago

The event will be held at 3:30 pm CT at:

CBOE Global Markets 
4th Floor Auditorium 
400 S LaSalle Street 
Chicago, Illinois 60605

On Thursday, May 16, 2019, at 4:15PM ET, the CAT NMS, LLC and FINRA CAT, LLC will be hosting a  Consolidated Audit Trail webcast to discuss the recent updates to the CAT Reporting Technical Specifications for Industry Members published on April 29, 2019 and updated on May 10, 2019. The webcast will be recorded and playback will be available on the CAT NMS Website. Please forward this meeting invite to any interested parties who would like to attend.

On Tuesday, April 16, 2019, at 4:15PM ET, FINRA CAT, LLC will be hosting a Consolidated Audit Trail webcast to discuss the Firm Designated Identifier or FDID. The webcast will be recorded and playback will be available on the CAT NMS Website. Please forward this meeting invite to any interested parties who would like to attend.

On Wednesday, April 3, 2019, at 4:15PM ET, the CAT NMS, LLC will be hosting a Consolidated Audit Trail webcast to discuss the recent updates to the CAT Reporting Technical Specifications for Industry Members published on March 29, 2019 and additional topics. The webcast will be recorded and playback will be available on the CAT NMS Website. Please forward this meeting invite to any interested parties who would like to attend.

Additional information related to the call is below.

Agenda

• Technical Specifications Key Changes
• Scenarios Key Changes
• 2c/2d and Small Firm Phase Dates
• Registration Update
• Q&A

On Tuesday, March 19, 2019, at 4:15PM ET, the CAT NMS, LLC. Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss CAT registration. The webcast will be recorded and playback will be available on the CAT NMS Website. Please forward this meeting invite to any interested parties who would like to attend.