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A. General

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

Displaying 31 - 40 of 201 results

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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

X. Reference Database

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09/20/2024
Event
Monthly CAT Update (September 19, 2024)
- Monthly CAT Update (September 19, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
- Monthly CAT Update (August 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/06/2024
Announcement
2024 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
08/02/2024
Reference Material
CAT LLC- Revised 2024 Financial and Operating Budget

Topics

A. General
07/23/2024
CAT Alert
CAT Alert 2024-01: Mapping of Exempted Port-Level Settings

Topics

A. General
07/18/2024
Event
Monthly CAT Update (July 18, 2024)
- Monthly CAT Update (July 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/20/2024
Event
Monthly CAT Update (June 20, 2024)
- Monthly CAT Update (June 20, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/17/2024
Event
Monthly CAT Update (May 16, 2024)
- Monthly CAT Update (May 16, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/18/2024
Event
Monthly CAT Update (April 18, 2024)
- Monthly CAT Update (April 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/21/2024
Event
Monthly CAT Update (March 21, 2024)
- Monthly CAT Update (March 21, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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