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Past Announcements

Year of 2019

03/19/2019 Industry Update on Consolidated Audit Trail Registration – Presentation 
03/19/2019 Industry Update on Consolidated Audit Trail Registration – Recording
03/18/2019 Consolidated Audit Trail Registration Now Open
03/12/2019 Industry Update on Consolidated Audit Trail Registration – Announcement
03/07/2019 FINRA CAT Helpdesk Becomes Operational
02/28/2019 CAT NMS, LLC Appoints New Member to the Advisory Committee
02/28/2019 Industry Member Technical Specifications v1.1 and Industry Member Technical Specifications Scenarios v1.1
02/27/2019 CAT NMS Selects FINRA as Consolidated Audit Trail Plan Processor
02/22/2019 Industry Member Technical Specifications v1.01 and Industry Member Technical Specifications Scenarios v1.01
02/21/2019 Annual Clock Synchronization Certification Form and Requirements documents
02/20/2019 Industry Update on the CAT – Presentation 
02/20/2019 Industry Update on the CAT – Recording
02/13/2019 As part of the Plan Processor transition previously announced, on February 13th, 2019, the CAT Helpdesk will transition to CAT NMS, LLC. During the transition period, industry questions may be submitted to CATNMSIO@deloitte.com for SRO tracking and resolution. Phone helpdesk services with the new Plan Processor will be restored at a future date.
02/08/2019 Industry Update on the CAT – Announcement
02/01/2019 CAT NMS, LLC confirms that it is transitioning the Consolidated Audit Trail ("CAT") project to a new Plan Processor. In transitioning the project to a new Plan Processor, the Participants are evaluating the impact the transition will have on current Industry Member implementation plans. While certain dates may change, there are no material changes planned for the Industry Member Technical Specifications. The Participants will continue to work with industry participants to finalize the Industry Member Reporting Specification. As an initial matter, the Participants anticipate the initial test period for data ingestion will move from August 2019 to late 2019 and plan to announce a more fulsome implementation schedule shortly. The Participants plan to host an industry webcast in the very near future to provide more information and answer questions.
01/25/2019 Annual Clock Synchronization Certification Form
01/24/2019 Update: In Person Options Meeting

Year of 2018

11/15/2018 CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
11/15/2018 Options In Person Meetings Announcements
11/14/2018 Industry Update on the CAT – Presentation 
11/14/2018 Industry Update on the CAT – Recording
11/08/2018 Industry Update on the CAT – Presentation 
11/08/2018 Industry Update on the CAT – Recording
11/07/2018 Industry Update on the CAT – Presentation 
11/07/2018 Industry Update on the CAT – Recording
11/07/2018 Industry Updates on the CAT (11/7,11/8,11/14) – Announcement
10/30/2018 Industry Technical Specifications v1.0
10/30/2018 Industry Technical Specifications Scenarios v1.0
10/17/2018 Industry Update on the CAT – Presentation 
10/17/2018 Industry Update on the CAT – Recording
10/17/2018 Industry Update on the CAT – Announcement
10/05/2018 Industry Technical Specifications v0.7
10/05/2018 Planned Maintenance of CATNMSPlan.com Website
09/05/2018 OATS to CAT Event Field Level Mapping 
08/15/2018 OATS to CAT Mapping FAQ Posted
08/14/2018 Industry Update on the CAT – Presentation 
08/14/2018 Industry Update on the CAT – Recording
08/09/2018 Industry Update on the CAT – Announcement
08/02/2018 Participant Technical Specifications v1.7
06/29/2018 Industry Update on the CAT – Presentation 
06/29/2018 Industry Update on the CAT – Recording
06/28/2018 Industry Update on the CAT – Announcement
06/25/2018 CAT NMS Provides Progress Update on the Consolidated Audit Trail
06/23/2018 Planned Maintenance of CATNMSplan.com Website
03/28/2018 Industry Update on the CAT – Presentation 
03/28/2018 Industry Update on the CAT – Recording
03/28/2018 Industry Update on the CAT – Announcement
03/09/2018 Clock Synchronization Notice to Industry Members
03/09/2018 Clock Synchronization Certification Form
03/08/2018 Participant Technical Specifications v1.6
02/28/2018 Industry Update on the CAT – Presentation 
02/28/2018 Industry Update on the CAT – Recording
02/28/2018 Industry Update on the CAT – Announcement
02/21/2018 Industry Member Technical Specifications Excerpt v0.2
This discussion draft is an excerpt of the CAT Reporting Technical Specifications for Industry Members including only new sections that have not yet been published. The Operating Committee acknowledges that this draft is incomplete and does not reflect resolution of interpretive questions raised by the industry to date.
02/15/2018 Industry Member CAT Reporting Technical Specification Publication Update
On February 15, 2018, Thesys CAT delivered a DRAFT version for publication of new portions of the CAT Reporting Technical Specification for Industry Members to the SROs. Upon review by the Operating Committee at its standing meeting on February 20, 2018, the SROs plan to publish these portions of the specifications.
02/09/2018 Thesys CAT LLC Announces Executive Appointment of Vas Rajan as Chief Information Security Officer for CAT
02/08/2018 CAT NMS Plan Interpretive FAQ Posted
01/30/2018 Industry Update on the CAT – Presentation 
01/30/2018 Industry Update on the CAT – Recording
01/18/2018 Industry Update on the CAT – Announcement
01/09/2018 Participant Technical Specifications v1.5

Year of 2017 Year of 2016

01/07/2016 Self-Regulatory Organizations File Amended and Restated CAT NMS Plan with the SEC
The Cat NMS Plan as files on December 23, 2015 can be found here

Year of 2015

11/16/2015 SROs Reduce Short List Bids from Six to Three for Consolidated Audit Trail
09/24/2015 SEC Approves Second Amendment to the Selection Plan
On March 6, 2015, the SROs filed a further Amendment to the Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail (“Selection Plan”). This Amendment was approved by the SEC on September 24, 2015. The approval notice is available via the Federal Register and can be found here
06/17/2015 SEC Approves Amendment to Selection Plan
On December 12, 2014, the SROs filed an Amendment to the Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail (“Selection Plan”). This Amendment was approved by the SEC on June 17, 2015. The approval notice is available via the Federal Register and can be found here
02/27/2015 Self-Regulatory Organizations File Amended and Restated CAT NMS Plan with the SEC
The CAT NMS Plan as filed on February 27, 2015 can be found here

Year of 2014

09/30/2014 Self-Regulatory Organizations File CAT NMS Plan with the SEC
The CAT NMS Plan as filed on September 30, 2014 can be found here
07/01/2014 SROs Select Short List Bids for the Consolidated Audit Trail
06/23/2014 SROs Launch Study to Analyze Implementation Cost of the Consolidated Audit Trail
Industry Feedback Sought to Help Determine Data Collection Costs Deadline for Submission is August 6, 2014

05/02/2014 SROs Announce Members of CAT Development Advisory Group
03/25/2014 SROs Invite New Members to the CAT Development Advisory Group

Year of 2013

11/27/2013 The CAT selection process NMS Plan is available for review via the Federal Register . All public comments received on the selection process NMS Plan, as well as the SROs’ response to the comments, can be found here

Please note that all comments or questions regarding the selection process NMS Plan should be provided directly to the SEC, and not to the SROs, using the formal comment process.

03/25/2013 SROs Announce Members of CAT Development Advisory Group
02/22/2013 SROs Announce Formation of CAT Development Advisory Group

Past Events

Year of 2014 Year of 2013 Year of 2012