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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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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

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03/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (3/18/21)
- Monthly CAT Implementation Update (3/18/21)- Presentation
- OATS Retirement Status Update (3/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/25/2021
Event
Industry Member Report Card 101 Webinar (2/24/21)
- Industry Member Report Card 101 Webinar (2/24/21)- Presentation
Audio file

Topics

A. General
02/18/2021
Event
Monthly CAT Implementation Update (2/18/21)
- Monthly CAT Implementation Update (2/18/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/29/2021
FAQ
A25. Are primary market transactions subject to CAT reporting?

Topics

A. General
01/21/2021
Event
Monthly CAT Implementation Update (1/21/21)
- Monthly CAT Implementation Update (1/21/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/17/2020
Event
Monthly CAT Implementation Update (12/17/20)
- Monthly CAT Implementation Update (12/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/19/2020
Event
Monthly CAT Implementation Update (11/19/20)
- Monthly CAT Implementation Update (11/19/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/26/2020
FAQ
A34. Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?

Topics

A. General
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
- Monthly CAT Implementation Update (10/15/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations

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