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

Nov

21

Monthly CAT Update (November 21, 2024)

04:15PM EST

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Displaying 1 - 10 of 186 results

11/12/2024
Event
Monthly CAT Update (January 16, 2025)

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
10/18/2024
Event
Monthly CAT Update (October 17, 2024)
- Monthly CAT Update (October 17, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2024
Event
Monthly CAT Update (September 19, 2024)
- Monthly CAT Update (September 19, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (November 21, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/04/2024
Event
Monthly CAT Update (December 19, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
- Monthly CAT Update (August 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/14/2024
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form

Topics

A. General
08/08/2024
FAQ
A11. How does the CAT funding model set forth in the CAT NMS Plan work?

Topics

A. General
08/06/2024
Announcement
2024 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
08/02/2024
Reference Material
CAT LLC- Revised 2024 Financial and Operating Budget

Topics

A. General

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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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics