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A. General

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

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Monthly CAT Update (November 21, 2024)

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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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02/16/2022
Event
Monthly CAT Update (February 16, 2022)
- Monthly CAT Update (February 16, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/03/2022
Event
CAT Processing Update (February 2, 2022)
- CAT Processing Update (2.02.22) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
01/20/2022
Event
Monthly CAT Update (January 19, 2022)
- Monthly CAT Update (January 19, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/13/2022
Event
Small Firms CAIS Report Cards Webinar (January 13, 2022)
- Small Firms CAIS Report Cards Webinar (January 13, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/12/2022
Event
Small Firms Transaction Report Cards Webinar (January 12, 2022)
- Small Firms Transaction Report Cards Webinar (January 12, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction
12/16/2021
Event
Monthly CAT Implementation Update (December 15, 2021)
- Monthly CAT Implementation Update (December 15, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/19/2021
Event
Monthly CAT Implementation Update (November 18, 2021)
- Monthly CAT Implementation Update (November 18, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/21/2021
Event
Monthly CAT Implementation Update (October 21, 2021)
- Monthly CAT Implementation Update (October 21, 2021) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/23/2021
Event
CAT Funding (September 22, 2021)
- CAT Funding (September 22, 2021) - Presentation
Audio file

Topics

A. General
09/21/2021
FAQ
A19. Will any existing SEC or SRO reporting systems be eliminated once the CAT is operational?

Topics

A. General

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