Latest Updates | CATNMSPLAN

08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)
06/29/2018
Event
Industry Update on the Consolidated Audit Trail (6/28/18)
04/18/2018
FAQ| D. Order Receipt
D2. Are Industry Members required to report the receipt of an order to the CAT if the Industry Member rejects the order?
04/18/2018
FAQ| D. Order Receipt
D3. How would an Industry Member determine the time of order receipt?
03/28/2018
Event
Industry Update on the Consolidated Audit Trail (3/28/18)
03/21/2018
FAQ| A. General
A16. What are the requirements for accessing historical CAT Data?
03/21/2018
FAQ| A. General
A13. Will SIP and OPRA data be included in the CAT?
03/21/2018
FAQ| R. Clock Synchronization
R1. What are the CAT clock synchronization standards for CAT Reporters?
03/21/2018
FAQ| S. Security
S1. What steps are being taken to ensure that the CAT is secure given heightened cybersecurity concerns?
03/21/2018
FAQ| A. General
A20. Will there be third-party auditing requirements to make sure the CAT is working properly?
03/21/2018
FAQ| A. General
A17. How many regulatory users are expected to access CAT Data?
03/21/2018
FAQ| A. General
A14. Will CAT tie the audit trail data to clearing data?
03/21/2018
FAQ| S. Security
S2. Will the CAT be required to satisfy the requirements of Reg SCI?
03/21/2018
FAQ| B. Reporting Requirements
B1. Are market maker quotes required to be reported to the CAT?
03/21/2018
FAQ| A. General
A18. Will the CAT provide the regulators with access to uncorrected data for surveillance?

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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