Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?
No. CAT Reporters are not required to record and report information related to non-Eligible Securities to the CAT. CAT Reporters only are required to report information related to Reportable Events in Eligible Securities – that is, NMS Securities and OTC Equity Securities. (See Section 1.1 of the CAT NMS Plan (definition of Eligible Security) available at SEC Approved CAT NMS Plan (11/15/2016))