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A. General
This topic provides general information related to the Consolidated Audit Trail and the CAT NMS Plan.
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- Announcement
Audited financial statements for CAT NMS, LLC from inception through 2018 are available, upon request at [email protected].
Topics - FAQ
In light of the SEC’s recent exemptive order, there are new dates by which Small Industry Members are required to begin reporting to the CAT. There are two different dates for the commencement of CAT reporting for Small Industry Members with regard to Phase 2a Industry Member Data, depending on whether the Small Industry Member records or reports information to FINRA’s Order Audit Trail System:
Topics - FAQ
In light of the SEC’s recent exemptive order, there are new dates by which Large Industry Members (which are Industry Members other than Small Industry Members) are required to begin reporting to the CAT. Large Industry Members are required to begin reporting Phase 2a Industry Member Data to the CAT by June 22, 2020, and are required to begin reporting Phase 2b Industry Member Data to the CAT by July 20, 2020.
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