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A. General

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

UPCOMING EVENT

Apr

17

Monthly CAT Update (April 17, 2025)

04:15PM EDT

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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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09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)

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A. General
Event
Monthly CAT Update (April 17, 2025)

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A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Announcement
2019 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC

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A. General
Event
Industry Webinar - CAT 101
- CAT 101 01/08/20 - Presentation
Audio file

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A. General

B. Reporting Requirements

M. Firm Designated ID

N. Third Party Reporting

P. Feedback and Error Correction

R. Clock Synchronization

T. Production Readiness Testing
Event
Monthly CAT Update (June 19 , 2025)

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A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Event
Monthly CAT Update (May 15, 2025)

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A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing

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