Topics | CATNMSPLAN

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Topics

Year

A. General

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

UPCOMING EVENT

Feb

23

Monthly CAT Update (February 23, 2023)

04:15PM EST

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Displaying 1 - 10 of 135 results

01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/09/2023
Event
Monthly CAT Update (February 23, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
- Monthly CAT Update (December 15, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/29/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

Topics

A. General
11/17/2022
Event
Monthly CAT Update (November 17, 2022)
- Monthly CAT Update (November 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/02/2022
Event
Industry Member Full CAIS Report Card Webinar (November 2, 2022)
- Industry Member Full CAIS Report Card Webinar (November 2, 2022) - Presentation
Audio file

Topics

A. General

Q. Customer and Account Information
10/26/2022
Event
Monthly CAT Update (October 26, 2022)
- Monthly CAT Update (October 26, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/24/2022
Announcement
2022 Consolidated Audit Trail Advisory Committee List

Topics

A. General
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
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

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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