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Monthly CAT Update (December 19, 2024)
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A. General
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
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N. Third Party Reporting
O. Technical Requirements
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02/13/2018
FAQ
B4.
Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?
Topics
B. Reporting Requirements
02/13/2018
FAQ
G1.
Is a CAT Reporter required to report two separate timestamps for Manual Order Events?
Topics
G. Manual Orders
01/30/2018
Event
Industry Update on the Consolidated Audit Trail (1/30/18)
CAT Industry Webcast 1/30/2018 - Presentation
Audio file
Topics
A. General
01/10/2018
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (1/10/2018)
Topics
A. General
12/19/2017
Event
Industry Update on the Consolidated Audit Trail (12/19/17)
CAT Industry Webcast 12/19/2017 - Presentation
Audio file
Topics
A. General
12/11/2017
Governance
Amendment No. 4 to the SEC Approved CAT NMS Plan to include Participant CAT Fees (12/11/2017)
Topics
A. General
11/13/2017
Governance
Request for Exemptive Relief from Certain Provisions of the CAT NMS Plan
Topics
A. General
10/30/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (10/30/2017)
Topics
A. General
09/07/2017
Event
Industry Update on the Consolidated Audit Trail (9/7/17)
CAT Industry Webcast 9/7/2017 - Presentation
Audio file
Topics
A. General
07/21/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (7/24/2017)
Topics
A. General
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