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search results for “Consolidated Audit trail "
- FAQCAT invoices issued to Industry Members and Plan Participants related to Consolidated Audit Trail billing can be paid via check, ACH or bank wire. Mailing, overnight, ACH and wire instructions are provided on each CAT invoice published to the CAT Reporter Portal. All payment types must include the…Topics
- Announcement
- FAQThe CAT NMS Plan contemplates a funding model in which both Participants and Industry Members contribute to the funding of the CAT. However, prior to the implementation of a CAT funding model, the Participants paid the full cost of the creation, implementation and maintenance of the CAT since…Topics
- Reference MaterialJune 22, 2026 - CAT LLC Comment Letter on SEC Concept Release on CAT and Other Audit Trails and Data Sources
- Reference Material
- CAT AlertCAT Alert 2020-02 - Standards for Self Reporting Deviations of Clock Synchronization Standards to FINRA CATOn January 28, 2020, the CAT NMS Plan Operating Committee approved parameters for when a CAT Reporter is required to self-report to the CAT Plan Processor, FINRA CAT, deviations of clock synchronizations standards required under SRO Rules and the CAT NMS Plan. FINRA CAT will use this information to…Topics
- FAQA34. Why is there a question on the CAT Registration Forms (Transaction and Reference Database Registration) asking for a Legal Entity Identifier (LEI)?The CAT NMS Plan requires Industry Members to “submit to the Central Repository” information “including CRD number and LEI, if such LEI has been obtained.” “Central Repository” means the repository responsible for the receipt, consolidation, and retention of all information reported to the…Topics
- EventAudio file
- CAT AlertThis CAT Alert describes how FINRA CAT, LLC, as the Plan Processor acting on behalf of CATLLC, will calculate applicable fees, issue invoices to and collect payment from CAT Executing Brokers.Topics
- CAT AlertOn January 13, 2026, the SEC approved an amendment (“the Amendment”) to the CAT NMS Plan relating to the Customer and Account Information System (“CAIS”). This CAT Alert addresses the Industry Member impacting items in the Amendment.On March 27, 2026, the SEC approved another amendment to the CAT…Topics