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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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A. General

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C. Definitions

D. Order Receipt

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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

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T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

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09/21/2021
Event
CAT Costs (September 21, 2021)
- CAT Costs (September 21, 2021) - Presentation
Audio file

Topics

A. General
09/09/2021
Event
Monthly CAT Implementation Update (September 9, 2021)
- Monthly CAT Implementation Update (September 9, 2021) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/26/2021
Announcement
2021 Consolidated Audit Trail Advisory Committee List

Topics

A. General
08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/16/2021
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
07/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (July 15, 2021)
- Monthly CAT Implementation Update (7/15/21)- Presentation
- OATS Retirement Status Update (7/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/18/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (June 17, 2021)
- Monthly CAT Implementation Update- Presentation
- FINRA (SRO) Status Update on OATS Retirement- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/10/2021
Event
Small Firms Roadmap to December 13, 2021 (June 10, 2021)
- Small Firms Roadmap to December 13, 2021 (6/10/2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

T. Production Readiness Testing
05/29/2021
Announcement
2020 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC

Topics

A. General
05/21/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (5/20/21)
- Monthly CAT Implementation Update (5/20/21)- Presentation
- OATS Retirement Status Update (5/20/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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