The Consolidated Audit Trail

The Consolidated Audit Trail will track orders throughout their life cycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently track activity in Eligible Securities throughout the U.S. markets.

The primary goal of Securities and Exchange Commission (SEC) Rule 613 is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading in the US securities markets.

Guides

CAT NMS Plan

Information regarding the history of the CAT NMS Plan.

Rollout Plan

The rollout plan for the CAT program, with information on when different stakeholder groups must begin using the CAT system.

RFP Process

Information regarding the history of the CAT NMS RFP process, including information on the bidders as well as details on the selection plan.

Exemptive Request Letter

Information on the Request for Exemptive Relief.

Extension Request Letter

Information on the Request for Extension.

News

NEW Industry Member CAT Reporting Technical Specification Publication Update

Details

On February 15, 2018, Thesys CAT delivered a DRAFT version for publication of new portions of the CAT Reporting Technical Specification for Industry Members to the SROs. Upon review by the Operating Committee at its standing meeting on February 20, 2018, the SROs plan to publish these portions of the specifications.

February 15, 2018

NEW Thesys CAT LLC Announces Executive Appointment of Vas Rajan as CISO for CAT

February 09, 2018

NEW CAT NMS Plan Interpretive FAQ Posted

February 08, 2018

Industry Update on the Consolidated Audit Trail 

January 30, 2018

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