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A. General

This topic provides general information related to the Consolidated Audit Trail and the CAT NMS Plan.

Displaying 161 - 170 of 198 results

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B. Reporting Requirements

C. Definitions

D. Order Receipt

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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

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

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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
08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)
- CAT Industry Update Webcast 8/9/2018 - Presentation
Audio file

Topics

A. General
06/29/2018
Event
Industry Update on the Consolidated Audit Trail (6/28/18)
- CAT Industry Update Webcast 6/28/2019 - Presentation
Audio file

Topics

A. General
03/28/2018
Event
Industry Update on the Consolidated Audit Trail (3/28/18)
- CAT Industry Webcast 3/28/2018 - Presentation
Audio file

Topics

A. General
03/21/2018
FAQ
A15. How will the SEC and Participants access the CAT Data for regulatory purposes?

Topics

A. General
03/21/2018
FAQ
A14. Will CAT tie the audit trail data to clearing data?

Topics

A. General
03/21/2018
FAQ
A13. Will SIP and OPRA data be included in the CAT?

Topics

A. General
03/21/2018
FAQ
A18. Will the CAT provide the regulators with access to uncorrected data for surveillance?

Topics

A. General
03/21/2018
FAQ
A12. Will CAT Reporters have access to their own submitted data?

Topics

A. General

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