Topics | CATNMSPLAN

Content type

Topics

Year

A. General

This topic provides general information related to the Consolidated Audit Trail and the CAT NMS Plan.

UPCOMING EVENT

Oct

26

Monthly CAT Update (October 26, 2022)

09:00AM EDT

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Displaying 1 - 10 of 130 results

09/27/2022
Event
Monthly CAT Update (September 27, 2022)
- Monthly CAT Update (September 27, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2022
Event
Monthly CAT Update (October 26, 2022)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/30/2022
Announcement
2022 Consolidated Audit Trail Advisory Committee List

Topics

A. General
08/23/2022
Event
Monthly CAT Update (August 23, 2022)
- Monthly CAT Update (August 23, 2022)- Presentation
- 2022 SIFMA Test (August 23, 2022)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
- CAT Technical Specification Working Group (August 9, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
07/28/2022
Event
Monthly CAT Update (July 28, 2022)
- Monthly CAT Update (July 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/22/2022
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form

Topics

A. General
07/06/2022
Announcement
Full CAIS Production Certification and Compliance Deadlines Extended

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information
06/28/2022
Event
Monthly CAT Update (June 28, 2022)
- Monthly CAT Update (June 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
All Topics