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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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All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

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

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09/07/2017
Event
Industry Update on the Consolidated Audit Trail (9/7/17)
- CAT Industry Webcast 9/7/2017 - Presentation
Audio file

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A. General
07/21/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (7/24/2017)

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A. General
06/15/2017
Reference Material
Clock Synchronization Assessment

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A. General

R. Clock Synchronization
06/15/2017
Reference Material
Expansion Report

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A. General
05/22/2017
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (5/22/2017)

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A. General
01/11/2017
Governance
SEC Approved CAT NMS Plan Amended to Include MIAX Pearl (1/11/2017)

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A. General
11/15/2016
Governance
SEC Approved CAT NMS Plan (11/15/2016)

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A. General
02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission

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A. General
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission

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A. General
09/02/2015
Governance
Approval Order of Exemptive Request Letter

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A. General

M. Firm Designated ID

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