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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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04/11/2019
FAQ
A9. Who is the Plan Processor for the CAT?

Topics

A. General
03/19/2019
Event
Industry Member Update on Consolidated Audit Trail Registration (3/19/2019)
- CAT Industry Call Presentation 03192019
Audio file

Topics

A. General
02/27/2019
Announcement
CAT NMS Selects FINRA as Consolidated Audit Trail Plan Processor

Topics

A. General
02/20/2019
Event
Industry Update on the Consolidated Audit Trail (2/20/2019)
- CAT Industry Webcast 02/20/2019 - Presentation
Audio file

Topics

A. General
11/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail

Topics

A. General
11/15/2018
FAQ
A23. What are the record retention requirements for Industry Member CAT Reporters?

Topics

A. General
11/15/2018
FAQ
A24. Is CAT a real-time system?

Topics

A. General
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
- CAT Industry Webcast 11/7/2018 - Presentation
Audio file

Topics

A. General
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/14/2018)
- CAT Industry Webcast 11/14/2018 - Presentation
Audio file

Topics

A. General
10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)
- CAT Industry Update Webcast 10/17/2018 - Presentation
Audio file

Topics

A. General

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