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 Update on the CAT – Recording 

November 8, 2018

NEW Industry Update on the CAT – Recording 

November 7, 2018

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