Latest Updates | CATNMSPLAN

05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
05/16/2019
Event
Industry Update on the CAT Reporting Technical Specifications for Industry Members (5/16/2019)
05/10/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.0
05/10/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.1
05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0
05/02/2019
FAQ| A. General
A5. When will Participants begin reporting data to the CAT?
05/02/2019
FAQ| A. General
A27. When does Industry Member testing begin?
04/29/2019
FAQ| A. General
A28. The CAT Registration form requires that a Registered Principal be named. Must that Registered Principal have a Series 24 license?
04/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.0
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)
04/11/2019
FAQ| L. Equity Floor Brokers
L1. How should orders sent to a Floor Broker on the New York Stock Exchange, NYSE American LLC or NYSE Arca, Inc. be reported to CAT?
04/11/2019
FAQ| O. Technical Requirements
O3. Will FINRA CAT, LLC provide some type of software/workstation for Industry Members to transmit the required order data?
04/11/2019
FAQ| A. General
A9. Who is the Plan Processor for the CAT?
04/11/2019
FAQ| O. Technical Requirements
O1. What are the mechanisms for reporting to CAT?
04/03/2019
Event
Industry Update on CAT Reporting Technical Specifications (4/3/2019)

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics