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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)

04:15PM EST

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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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01/18/2024
Event
Monthly CAT Update (January 18, 2024)
- Monthly CAT Update (January 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/20/2023
Event
Monthly CAT Update (December 19, 2023)
- Monthly CAT Update (December 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/07/2023
Announcement
2023 Consolidated Audit Trail Advisory Committee List

Topics

A. General
11/17/2023
Event
Monthly CAT Update (November 16, 2023)
- Monthly CAT Update (November 16, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/20/2023
Event
Monthly CAT Update (October 19, 2023)
- Monthly CAT Update (October 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/12/2023
FAQ
A10. How is the cost of the CAT being funded?

Topics

A. General
10/12/2023
FAQ
A10. This FAQ has been retired and archived. Please refer to FAQ V1.

Topics

A. General
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/15/2023
Announcement
CAT Funding Model Approval

Topics

A. General
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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