Latest Updates | CATNMSPLAN

03/21/2018
FAQ| A. General
A18. Will the CAT provide the regulators with access to uncorrected data for surveillance?
03/21/2018
FAQ| Q. Customer and Account Information
Q1. What customer information must Industry Members report to the CAT?
03/21/2018
FAQ| A. General
A15. How will the SEC and Participants access the CAT Data for regulatory purposes?
03/21/2018
FAQ| A. General
A12. Will CAT Reporters have access to their own submitted data?
03/21/2018
FAQ| K. Options
K1. Will Options Clearing Corporation (OCC) data be included in the CAT?
03/13/2018
FAQ| B. Reporting Requirements
B6. Are CAT Reporters required to report to the CAT quotes received via subscriptions to receive market data from market data vendors (such as exchanges or market data aggregators)?
02/28/2018
Event
Industry Update on the Consolidated Audit Trail (2/28/18)
02/13/2018
FAQ| B. Reporting Requirements
B4. Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?
02/13/2018
FAQ| G. Manual Orders
G1. Is a CAT Reporter required to report two separate timestamps for Manual Order Events?
01/30/2018
Event
Industry Update on the Consolidated Audit Trail (1/30/18)
01/10/2018
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (1/10/2018)
12/19/2017
Event
Industry Update on the Consolidated Audit Trail (12/19/17)
12/11/2017
Governance
Amendment No. 4 to the SEC Approved CAT NMS Plan to include Participant CAT Fees (12/11/2017)
11/13/2017
Governance
Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan
10/30/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (10/30/2017)

« First
‹ Previous
…
85
86
87
88
89
90
91
92
93
…
Next ›
Last »

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