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Consolidated Audit Trail, LLC and FINRA CAT, LLC host a Monthly CAT Implementation Update on the third Thursday of every month at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

On August 19, 2021, in addition to the regularly scheduled monthly implementation update, staff from FINRA (SRO) will provide an update on the status of OATS retirement.  

Consolidated Audit Trail, LLC and FINRA CAT, LLC host a Monthly CAT Implementation Update on the third Thursday of every month at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

On July 15, 2021, in addition to the regularly scheduled monthly implementation update, staff from FINRA (SRO) will provide an update on the status of OATS retirement.  

Consolidated Audit Trail, LLC and FINRA CAT, LLC host a Monthly CAT Implementation Update on the third Thursday of every month at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

On June 17, 2021, in addition to the regularly scheduled monthly implementation update, staff from FINRA (SRO) will provide an update on the status of OATS retirement.  

On Thursday, June 10, 2021 at 11 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to review the steps that Small Firms must take to prepare for reporting to the CAT Transaction System and CAT Customer and Account Information System ("CAIS") by the compliance date of December 13, 2021.

The 2020 audited financial statements for Consolidated Audit Trail, LLC are available upon request at [email protected]. 

Consolidated Audit Trail, LLC and FINRA CAT, LLC host a Monthly CAT Implementation Update on the third Thursday of every month at 4:15 pm ET. The Monthly CAT Implementation Update meetings provide the industry with a high level overview of materials and guidance published on the www.catnmsplan.com website during the month.

On May 20, 2021, in addition to the regularly scheduled monthly implementation update, staff from FINRA (SRO) will provide an update on the status of OATS retirement.  

The login User Interface will be updated on June 20, 2021 to provide a simpler, more consistent experience across various applications and platforms. 

On May 18, 2021 the Participants of the CAT NMS Plan responded to comment letters in response to the proposed amendment to revise the CAT Reporter Agreement and CAT Reporting Agent Agreement. 

Starting in Phases 2a (equities) and 2b (options), orders received or originated prior to the date on which an Industry Member is required to begin reporting to the CAT and any subsequent events related to such orders, including those occurring on or after the required reporting date, are not required to be reported to the CAT. However, Industry Members may submit to the CAT events related to orders received or originated prior to the required reporting date and they will not be rejected.