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A. General

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

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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

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T. Production Readiness Testing

U. Allocations

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11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
- CAT Industry Webcast 11/7/2018 - Presentation
Audio file

Topics

A. General
10/17/2018
Event
Industry Update on the Consolidated Audit Trail (10/17/18)
- CAT Industry Update Webcast 10/17/2018 - Presentation
Audio file

Topics

A. General
08/14/2018
Event
Industry Update on the Consolidated Audit Trail (8/09/18)
- CAT Industry Update Webcast 8/9/2018 - Presentation
Audio file

Topics

A. General
06/29/2018
Event
Industry Update on the Consolidated Audit Trail (6/28/18)
- CAT Industry Update Webcast 6/28/2019 - Presentation
Audio file

Topics

A. General
03/28/2018
Event
Industry Update on the Consolidated Audit Trail (3/28/18)
- CAT Industry Webcast 3/28/2018 - Presentation
Audio file

Topics

A. General
03/21/2018
FAQ
A13. Will SIP and OPRA data be included in the CAT?

Topics

A. General
03/21/2018
FAQ
A18. Will the CAT provide the regulators with access to uncorrected data for surveillance?

Topics

A. General
03/21/2018
FAQ
A12. Will CAT Reporters have access to their own submitted data?

Topics

A. General
03/21/2018
FAQ
A17. How many regulatory users are expected to access CAT Data?

Topics

A. General
03/21/2018
FAQ
A20. Will there be third-party auditing requirements to make sure the CAT is working properly?

Topics

A. General

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