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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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J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

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06/16/2020
FAQ
A32. Which version of the CAT Reporting Technical Specifications for Industry Members should Small Industry Members use to code their CAT reporting systems?

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A. General
06/05/2020
Reference Material
Notice of Filing of Exemptive Request Letter Related to Data Facility Reporting and Linkage

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A. General
05/21/2020
FAQ
A21. This FAQ has been retired. Please refer to FAQs A5, A6 and A7.

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A. General
05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement

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A. General
04/30/2020
Announcement
Audited Financial Statements

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A. General
04/27/2020
FAQ
A7. When will Small Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A6. When will Large Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A31. If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?

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A. General
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers

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A. General
04/14/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID

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A. General

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