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A. General

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

UPCOMING EVENT

Nov

21

Monthly CAT Update (November 21, 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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08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
- CAT Technical Specification Working Group (August 9, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements
08/01/2022
Announcement
2022 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
07/28/2022
Event
Monthly CAT Update (July 28, 2022)
- Monthly CAT Update (July 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/28/2022
Event
Monthly CAT Update (June 28, 2022)
- Monthly CAT Update (June 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/24/2022
Event
CAT Transaction and CAIS Technical Specification Working Group - May 24, 2022
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information
05/17/2022
Event
Monthly CAT Update (May 17, 2022)
- Monthly CAT Update (May 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2022
Event
Monthly CAT Update (April 20, 2022)
- Monthly CAT Update (April 20, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/29/2022
Event
Cost Savings and Processing Efficiencies
- Cost Savings and Processing Efficiencies (March 29, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/23/2022
CAT Alert
CAT Alert 2020-04 - Standards for Self Reporting Erroneous Events to FINRA CAT

Topics

A. General
03/16/2022
Event
Monthly CAT Update (March 16, 2022)
- Monthly CAT Update (March 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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