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

May

15

Monthly CAT Update (May 15, 2025)

04:15PM EDT

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Displaying 1 - 10 of 186 results

04/17/2025
Event
Monthly CAT Update (April 17, 2025)
- Monthly CAT Update (April 17, 2025)
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
04/01/2025
Event
Monthly CAT Update (March 20, 2025)
- Monthly CAT Update (March 20, 2025) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
03/31/2025
Reference Material
Self-Reporting Deviations Of Clock Synchronization Standards Form

Topics

A. General
02/20/2025
Event
Monthly CAT Update (February 20, 2025)
- Monthly CAT Update (February 20, 2025) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
01/16/2025
Event
Monthly CAT Update (January 16, 2025)
- Monthly CAT Update (January 16, 2025) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
12/19/2024
Event
Monthly CAT Update (December 19, 2024)
- Monthly CAT Update (December 19, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/21/2024
Event
Monthly CAT Update (November 21, 2024)
- Monthly CAT Update (November 21, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/18/2024
Event
Monthly CAT Update (October 17, 2024)
- Monthly CAT Update (October 17, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/20/2024
Event
Monthly CAT Update (September 19, 2024)
- Monthly CAT Update (September 19, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/16/2024
Event
Monthly CAT Update (August 15, 2024)
- Monthly CAT Update (August 15, 2024) - 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
V. CAT Billing
W. Fee Dispute Resolution
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
V. CAT Billing
W. Fee Dispute Resolution
All Topics