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A. General

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

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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

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05/21/2020
FAQ
A21. This FAQ has been retired and archived. Please refer to FAQs A5, A6 and A7.

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A. General
05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement

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A. General
04/30/2020
Announcement
Audited Financial Statements

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A. General
04/27/2020
FAQ
A6. When will Large Industry Members begin reporting data to the CAT?

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A. General
04/27/2020
FAQ
A31. If an Industry Member begins reporting to the CAT prior to June 22, 2020, could the Industry Member be subject to disciplinary action if its pre-June 22, 2020 CAT reporting does not fully comply with the CAT Compliance Rules?

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A. General
04/27/2020
FAQ
A7. When will Small Industry Members begin reporting data to the CAT?

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A. General
04/14/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID

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A. General
04/14/2020
Announcement
CAT Now Open for Reporting by Broker-Dealers

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A. General
03/19/2020
Announcement
Plan Participant's Request for No Action Relief

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A. General
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter

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A. General

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