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

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A. General
04/14/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID

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A. General
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers

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A. General
03/19/2020
Announcement
Plan Participant's Request for No Action Relief

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A. General
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter

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A. General
02/27/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID

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A. General

M. Firm Designated ID
02/11/2020
FAQ
A30. If a firm meets the definition of a Small Industry Member at the time its audited financial statements are prepared, but its total capital subsequently exceeds $500,000 prior to the Small Industry Member deadline of December 2021, must it immediately start reporting to CAT as a Large Industry Member?

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A. General
01/29/2020
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information

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A. General

Q. Customer and Account Information
01/16/2020
Event
Industry Webinar – CAT Updates (01/15/2020)
- Industry Webinar - General CAT Update
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
12/02/2019
Announcement
Participants of the CAT NMS Plan Response to SIFMA Letter

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A. General

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