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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 121 - 130 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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11/20/2019
Governance
New Proposed CAT NMS Plan Amendment related to FDID

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A. General

M. Firm Designated ID
10/16/2019
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
09/26/2019
Governance
Proposed FDID Amendment (9/26/2019)

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A. General

M. Firm Designated ID
09/26/2019
Event
Industry Webinar - CAT Connectivity Update (September 26, 2019)
- CAT Connectivity Update (September 26, 2019) - Presentation
Audio file

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A. General

T. Production Readiness Testing
09/25/2019
FAQ
A1. Has a legal entity been established to conduct the activities related to the CAT?

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A. General
09/17/2019
FAQ
A4. Does the Consolidated Audit Trail, LLC have any officers?

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A. General
08/29/2019
FAQ
A2. How is the Consolidated Audit Trail, LLC managed?

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A. General
08/29/2019
Governance
Amended CAT NMS Plan for Consolidated Audit Trail, LLC (8/29/2019)

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A. General
08/29/2019
FAQ
A8. What is the role of the Plan Processor?

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A. General
08/29/2019
Governance
Notice of Filing of Amended CAT NMS Plan for Consolidated Audit Trail, LLC (08/29/2019)

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A. General

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