Latest Updates | CATNMSPLAN

07/21/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (7/24/2017)
06/15/2017
Reference Material
Expansion Report
06/15/2017
FAQ| R. Clock Synchronization
R4. When during the day should clocks be synchronized?
06/15/2017
Reference Material
Clock Synchronization Assessment
05/22/2017
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (5/22/2017)
01/11/2017
Governance
SEC Approved CAT NMS Plan Amended to Include MIAX Pearl (1/11/2017)
11/15/2016
Governance
SEC Approved CAT NMS Plan (11/15/2016)
05/17/2016
Governance
SEC Notice of Filing of the Consolidated Audit Trail National Market System Plan and Request for Comment
03/24/2016
Governance
CAT NMS Plan Security Requirements - Architecture, Program and Data Usage Controls (3/24/2016)
02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
09/02/2015
Governance
Approval Order of Exemptive Request Letter
09/02/2015
FAQ| Q. Customer and Account Information
Q2. Are CAT Reporters required to report Customer-IDs to the CAT?
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis

« First
‹ Previous
…
90
91
92
93
94
95
96
97
98
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].