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A. General

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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

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T. Production Readiness Testing

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Announcement
CAT LLC Shares Condolences in Passing of FINRA Executive and Market Regulation Veteran Thomas Gira
Reference Material
SEC Approved CAT NMS Plan as of 7/24/2020
Announcement
2019 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC

Topics

A. General
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v3.2.2 r1
Reference Material
Q3 2020 QPR
Reference Material
Proposed CAT NMS Plan Amendment Regarding the CAT Reporter Agreement and CAT Reporting Agent Agreement (12/18/2020)
Event
Industry Testing Checkpoint Call (2/2/2021)
- Industry Testing Checkpoint Call (2/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Event
Industry Testing Checkpoint Call (3/2/2021)
- Industry Testing Checkpoint Call (3/2/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
Reference Material
Q3 2020 QPR Updated

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