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Below is a summary of all available content.
UPCOMING EVENT
Sep
19
Monthly CAT Update (September 19, 2024)
04:15PM EDT
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Displaying 1231 - 1240 of 1419 results
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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
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08/15/2018
Announcement
CAT NMS Announces Initiation of Reporting to the Consolidated Audit Trail
08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)
CAT Industry Update Webcast 8/9/2018 - Presentation
Audio file
06/29/2018
Event
Industry Update on the Consolidated Audit Trail (6/28/18)
CAT Industry Update Webcast 6/28/2019 - Presentation
Audio file
04/18/2018
FAQ
D2.
Are Industry Members required to report the receipt of an order to the CAT if the Industry Member rejects the order?
Topics
D. Order Receipt
04/18/2018
FAQ
D3.
How would an Industry Member determine the time of order receipt?
Topics
D. Order Receipt
03/28/2018
Event
Industry Update on the Consolidated Audit Trail (3/28/18)
CAT Industry Webcast 3/28/2018 - Presentation
Audio file
03/21/2018
FAQ
A3.
Does the industry have a role in the management of the CAT?
Topics
A. General
03/21/2018
FAQ
A12.
Will CAT Reporters have access to their own submitted data?
Topics
A. General
03/21/2018
FAQ
A13.
Will SIP and OPRA data be included in the CAT?
Topics
A. General
03/21/2018
FAQ
A14.
Will CAT tie the audit trail data to clearing data?
Topics
A. General
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