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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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Displaying 101 - 110 of 186 results

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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

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07/01/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Certain Verbal Activity on and off Exchange Trading Floors

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A. General
07/01/2020
Event
Separation of Production and Test User Accounts
- Separation of Production and Test User Accounts- Presentation
Audio file

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A. General
06/16/2020
FAQ
A32. Which version of the CAT Reporting Technical Specifications for Industry Members should Small Industry Members use to code their CAT reporting systems?

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A. General
06/05/2020
Reference Material
Notice of Filing of Exemptive Request Letter Related to Data Facility Reporting and Linkage

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A. General
05/21/2020
FAQ
A21. This FAQ has been retired and archived. Please refer to FAQs A5, A6 and A7.

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A. General
05/21/2020
FAQ
A21. Will the CAT be ready to accept Industry Member Data in November 2018? If not, when will Industry Members be required to begin reporting to the CAT?

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A. General
05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement

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A. General
04/30/2020
Announcement
Audited Financial Statements

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A. General
04/27/2020
FAQ
A7. When will Small Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A6. When will Large Industry Members begin reporting data to the CAT?

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A. General

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