Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

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

Sort by

Order

Subscribe

A. General

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

UPCOMING EVENT

Feb

19

Monthly CAT Update (February 19, 2026)

04:15PM EST

Add To My Calendar

Displaying 171 - 180 of 196 results

Filter by Content Type

Filter by Topic

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

Sort by

Order

03/21/2018
FAQ
A3. Does the industry have a role in the management of the CAT?

Topics

A. General
03/21/2018
FAQ
A16. What are the requirements for accessing historical CAT Data?

Topics

A. General
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

Pagination

« First
‹ Previous
…
12
13
14
15
16
17
18
19
20
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy