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A. General

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

UPCOMING EVENT

Dec

19

Monthly CAT Update (December 19, 2024)

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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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02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission

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A. General
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission

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A. General
09/02/2015
Governance
Approval Order of Exemptive Request Letter

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A. General

M. Firm Designated ID
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date

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A. General

Q. Customer and Account Information
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis

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A. General
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples

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A. General

M. Firm Designated ID
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter

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A. General

M. Firm Designated ID
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)

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A. General
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)

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A. General
Event
Monthly CAT Update (March 20, 2025)

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A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing

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