Topics | CATNMSPLAN

Content type

Topics

Year

A. General

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

UPCOMING EVENT

Oct

19

Monthly CAT Update (October 19, 2023)

04:15PM EDT

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Displaying 1 - 10 of 147 results

09/28/2023
Event
CAT Billing Webinar
- CAT Billing Webinar - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/15/2023
Announcement
CAT Funding Model Approval

Topics

A. General
08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/15/2023
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form

Topics

A. General
08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

Topics

A. General
08/09/2023
Announcement
2023 Consolidated Audit Trail Advisory Committee List

Topics

A. General
08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
07/07/2023
Reference Material
Erroneous Events Self Reporting Form v1.4

Topics

A. General
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
- Monthly CAT Update (June 15, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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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
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
All Topics