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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

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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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08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

Topics

A. General
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
07/07/2023
Reference Material
Erroneous Events Self Reporting Form v1.4

Topics

A. General
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
- Monthly CAT Update (June 15, 2023) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/30/2023
Announcement
5/27/22 This Announcement Has Been Superseded

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A. General

B. Reporting Requirements

Q. Customer and Account Information
05/24/2023
Reference Material
CAT Reporter Agreement (PDF for reference)

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A. General
05/24/2023
Reference Material
CAT Reporting Agent Agreement (PDF for reference)

Topics

A. General
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
- Monthly CAT Update (May 18, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2023
Event
Monthly CAT Update (April 20, 2023)
- Monthly CAT Update (April 20, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/24/2023
Event
Monthly CAT Update (March 23, 2023)
- Monthly CAT Update (March 23, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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