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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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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

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T. Production Readiness Testing

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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
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?

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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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