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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

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

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12/17/2020
Event
Monthly CAT Implementation Update (12/17/20)
- Monthly CAT Implementation Update (12/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/19/2020
Event
Monthly CAT Implementation Update (11/19/20)
- Monthly CAT Implementation Update (11/19/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/26/2020
FAQ
A34. Why is there a question on the CAT Registration Form (Transaction Registration) asking for a Legal Entity Identifier (LEI)?

Topics

A. General
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
- Monthly CAT Implementation Update (10/15/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

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A. General
07/22/2020
Governance
CAT Implementation Plan

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A. General
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List

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A. General
07/01/2020
Event
Separation of Production and Test User Accounts
- Separation of Production and Test User Accounts- Presentation
Audio file

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A. General
07/01/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Certain Verbal Activity on and off Exchange Trading Floors

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A. General

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