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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

W. Fee Dispute Resolution

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

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A. General
08/13/2019
Event
Industry Webinar - An Overview of the CAT Onboarding Guide (August 12, 2019)
- Onboarding Guide Overview 8/12/19
Audio file

Topics

A. General

T. Production Readiness Testing
06/18/2019
FAQ
A22. Can Small Industry Members that are not OATS Reporting Members (“Small Industry Non-OATs Reporters”) voluntarily report to the CAT prior to December 2021?

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A. General
05/02/2019
FAQ
A5. When will Participants begin reporting data to the CAT?

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A. General
05/02/2019
FAQ
A27. When does Industry Member testing begin?

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A. General
04/29/2019
FAQ
A28. The CAT Registration form requires that a Registered Principal be named. Must that Registered Principal have a Series 24 license?

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

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

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

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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

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A. General

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