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The Industry Member must populate as ‘ADDRESS1’ the same principal business address as is listed on its Uniform Application for Broker-Dealer Registration (or “Form BD”). If the Industry Member listed a separate mailing address on its Form BD, it must populate this address as ‘ADDRESS2’. 

In a scenario where a customer order is received and executed, and an Industry Member makes an accommodation to the customer due to a customer error (such as an incorrect quantity entered), Industry Members must report to CAT in accordance with what is captured in their books and records. 

For both phases, the CAT NMS Plan requires Industry Members to report Received Industry Member Data, which includes customer and account data, by 8:00 a.m. Eastern Time on the CAT Trading Day following the day the Industry Member receives such Received Industry Member Data. For example:

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call on August 10, 2021. 

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.

On Thursday, June 10, 2021 at 11 am ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to review the steps that Small Firms must take to prepare for reporting to the CAT Transaction System and CAT Customer and Account Information System ("CAIS") by the compliance date of December 13, 2021.

On Wednesday, June 9, 2021 at 4:15 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host an industry webinar to provide an overview of the CAIS Report Card. The webinar will follow the regularly scheduled Industry Testing Checkpoint Call for CAIS/LTID.

Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Industry Testing Checkpoint Calls every other Tuesday at 4:15 pm ET beginning on February 2, 2021 until further notice. 

Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.