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Consolidated Audit Trail, LLC and FINRA CAT, LLC will 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 September 22, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC (CAT LLC) will host an industry webinar on CAT funding models. The presentation material for the webinar is available at CAT Funding Webinar- Presentation. CAT LLC requests that persons who would like to submit questions do so in advance through the following link: [email protected].

The CAT NMS Plan requires the Participants to submit rule filings to eliminate or modify any rules or systems that would be redundant of the CAT. In May 2017, certain Participants filed with the SEC rule filings to eliminate or modify certain redundant rules and systems, including rule filings related to FINRA’s Order Audit Trail System (“OATS”) and the Electronic Blue Sheets (“EBS”). In light of the delay in the commencement of CAT reporting, these rule filings were withdrawn.

On September 21, 2021 at 4:15 p.m. Eastern Time, Consolidated Audit Trail, LLC (CAT LLC) will host an industry webinar on CAT costs. The presentation material for the webinar is available at CAT Costs Webinar- Presentation. CAT LLC requests that persons who would like to submit questions do so in advance through the following link: [email protected]. Please submit all questions by close of business, Monday, September 20, 2021.

For the month of September 2021, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host the Monthly CAT Implementation Update on the second Thursday, September 9, 2021, 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.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will 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.

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.  

The 2021 Entitlement Certification Period for CAT Reporting Agents (Not Applicable to Industry Members) is scheduled for September 13, 2021 – November 15, 2021. During this period, each organization is required to review and verify all CAT accounts (user, administrator, machine).