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S. Security

This topic covers the security of CAT data.

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  • FAQ

    The Participants requested an exemption from the SEC from certain provisions of the CAT NMS Plan so that social security numbers/taxpayer identification numbers for natural persons would not be reported to the CAT. If the exemption is granted, the Plan Processor will generate a unique CAT Customer ID (“CCID”) using a strategy developed in collaboration with Industry Members. The CCID strategy uses a two-phase transformation that avoids the receipt or retention of social security numbers or individual taxpayer identification numbers in the CAT.

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  • FAQ

    Pursuant to the CAT NMS Plan, Customer Account Information generally includes, account number, account type, customer type, date account opened, and large trader identifier (if applicable). Customer Identifying Information means information of sufficient detail to identify a customer.

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  • FAQ

    CATLLC’s actions in the event of unauthorized access to CAT Data will depend on the circumstances. If CATLLC becomes aware of actual (or potential) unauthorized access to CAT Data, CATLLC, working with the Plan Processor, will take all reasonable steps to investigate the incident, mitigate potential harm from the unauthorized access and protect the integrity of the CAT System. CATLLC also will report unauthorized access to law enforcement, the SEC and other authorities as required or as it deems appropriate.

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  • FAQ

    The CAT Central Repository will contain customer order and trade event information for orders in NMS Securities and OTC Equity Securities, from the time of order creation through routing, cancellation, modification or execution in a single, consolidated source.

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  • FAQ

    CATLLC has retained a Plan Processor to develop and operate the CAT System, and both the Plan Processor and the Participants have policies and procedures for the security and confidentiality of information submitted to the CAT System and access to the information in the CAT Central Repository by Participants.

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  • FAQ

    The Consolidated Audit Trail, or “CAT,” is being developed by the national securities exchanges – BOX Exchange LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Investors’ Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, In

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  • FAQ

    The CAT NMS Plan states that the Plan Processor must provide Participants’ regulatory staff and the SEC with access to all CAT Data for regulatory purposes only. The CAT NMS Plan also states that Participants’ regulatory staff and the SEC will access CAT Data to perform functions, including economic analyses, market structure analyses, market surveillance, investigations, and examinations.

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  • FAQ

    Only authorized regulatory users from the Participants and the SEC will have permission to access CAT Data via the CAT System. And, only a subset of those authorized regulatory users will have permission to access and view Customer Account Information and Customer Identifying Information, which is stored and handled separately from the order and trade data.

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  • Announcement
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  • Event

    On Wednesday, August 28, 2019, at 4:15pm ET, CAT NMS, LLC and FINRA CAT, LLC will host an industry webinar focusing on the security of Consolidated Audit Trail data. During the call, the SROs will share information about how the data reported to CAT will be safeguarded to ensure the security and confidentiality of the data. 

    Audio file
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