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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
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A. General
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H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)
CAT Industry Update Webcast 8/9/2018 - Presentation
Audio file
Topics
A. General
06/29/2018
Event
Industry Update on the Consolidated Audit Trail (6/28/18)
CAT Industry Update Webcast 6/28/2019 - Presentation
Audio file
Topics
A. General
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
Topics
A. General
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
03/21/2018
FAQ
A15.
How will the SEC and Participants access the CAT Data for regulatory purposes?
Topics
A. General
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