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

Apr

20

Monthly CAT Update (April 20, 2023)

04:15PM EDT

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Displaying 1 - 10 of 139 results

03/07/2023
Announcement
2023 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)

Topics

A. General
03/02/2023
Event
Monthly CAT Update (April 20, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/01/2023
Announcement
3/1/2023 Consolidated Audit Trail Advisory Committee List

Topics

A. General
02/24/2023
Event
Monthly CAT Update (February 23, 2023)
- Monthly CAT Update (February 23, 2023) - Presentation
- Processing Changes to the Transaction Report Card - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/21/2023
Event
Monthly CAT Update (March 23, 2023)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
- Monthly CAT Update (December 15, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/29/2022
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

Topics

A. General
11/17/2022
Event
Monthly CAT Update (November 17, 2022)
- Monthly CAT Update (November 17, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/02/2022
Event
Industry Member Full CAIS Report Card Webinar (November 2, 2022)
- Industry Member Full CAIS Report Card Webinar (November 2, 2022) - Presentation
Audio file

Topics

A. General

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