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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

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03/21/2018
FAQ
A3. Does the industry have a role in the management of the CAT?

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A. General
03/21/2018
FAQ
A20. Will there be third-party auditing requirements to make sure the CAT is working properly?

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A. General
03/21/2018
FAQ
A11. How does the CAT funding model set forth in the CAT NMS Plan work?

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A. General
03/21/2018
FAQ
A16. What are the requirements for accessing historical CAT Data?

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A. General
02/28/2018
Event
Industry Update on the Consolidated Audit Trail (2/28/18)
- CAT Industry Webcast 2/28/2018 - Presentation
Audio file

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A. General
01/30/2018
Event
Industry Update on the Consolidated Audit Trail (1/30/18)
- CAT Industry Webcast 1/30/2018 - Presentation
Audio file

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A. General
01/10/2018
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (1/10/2018)

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A. General
12/19/2017
Event
Industry Update on the Consolidated Audit Trail (12/19/17)
- CAT Industry Webcast 12/19/2017 - Presentation
Audio file

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A. General
11/13/2017
Governance
Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan

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A. General
10/30/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (10/30/2017)

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A. General

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