Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

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

Sort by

Order

Subscribe

A. General

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

UPCOMING EVENT

Nov

20

Monthly CAT Update (November 20, 2025)

04:15PM EST

Add To My Calendar

Displaying 121 - 130 of 194 results

Filter by Content Type

Filter by Topic

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

Sort by

Order

04/27/2020
FAQ
A31. If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?

Topics

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

Topics

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

Topics

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

Topics

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

Topics

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

Topics

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

Topics

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?

Topics

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

Topics

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

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing

Pagination

« First
‹ Previous
…
9
10
11
12
13
14
15
16
17
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy