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UPCOMING EVENT
Sep
19
Monthly CAT Update (September 19, 2024)
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A. General
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N. Third Party Reporting
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03/24/2016
Governance
CAT NMS Plan Security Requirements - Architecture, Program and Data Usage Controls (3/24/2016)
Topics
S. Security
02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
Topics
A. General
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission
Topics
A. General
09/02/2015
FAQ
Q2.
Are CAT Reporters required to report Customer-IDs to the CAT?
Topics
Q. Customer and Account Information
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date
Topics
A. General
Q. Customer and Account Information
09/02/2015
Governance
Approval Order of Exemptive Request Letter
Topics
A. General
M. Firm Designated ID
06/12/2015
Technical Specifications
EBS-CAT Gap Analysis
Topics
A. General
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples
Topics
A. General
M. Firm Designated ID
01/30/2015
FAQ
Q5.
What is the definition of customer under the CAT NMS Plan? Who is the customer for purposes of the CAT: the end customer, the introducing broker or the clearing broker?
Topics
Q. Customer and Account Information
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter
Topics
A. General
M. Firm Designated ID
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