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A. General

This topic provides general information related to the Consolidated Audit Trail and the CAT NMS Plan.

Displaying 121 - 130 of 205 results

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A. General

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C. Definitions

D. Order Receipt

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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

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

X. Reference Database

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09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations
08/25/2020
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
07/22/2020
Governance
CAT Implementation Plan

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A. General
07/20/2020
Announcement
Consolidated Audit Trail Advisory Committee List

Topics

A. General
07/01/2020
Event
Separation of Production and Test User Accounts
- Separation of Production and Test User Accounts- Presentation
Audio file

Topics

A. General
07/01/2020
Governance
Notice of Filing of Exemptive Request Letter Related to Certain Verbal Activity on and off Exchange Trading Floors

Topics

A. General
06/16/2020
FAQ
A32. Which version of the CAT Reporting Technical Specifications for Industry Members should Small Industry Members use to code their CAT reporting systems?

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A. General
06/05/2020
Reference Material
Notice of Filing of Exemptive Request Letter Related to Data Facility Reporting and Linkage

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A. General
05/21/2020
FAQ
A21. This FAQ has been retired and archived. Please refer to FAQs A5, A6 and A7.

Topics

A. General
05/21/2020
FAQ
A21. Will the CAT be ready to accept Industry Member Data in November 2018? If not, when will Industry Members be required to begin reporting to the CAT?

Topics

A. General

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