Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

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

X. Reference Database

Sort by

Order

Subscribe

A. General

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

Displaying 121 - 130 of 200 results

Filter by Content Type

Filter by Topic

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

X. Reference Database

Sort by

Order

07/01/2020
Event
Separation of Production and Test User Accounts
- Separation of Production and Test User Accounts- Presentation
Audio file

Topics

A. General
06/16/2020
FAQ
A32. Which version of the CAT Reporting Technical Specifications for Industry Members should Small Industry Members use to code their CAT reporting systems?

Topics

A. General
06/05/2020
Reference Material
Notice of Filing of Exemptive Request Letter Related to Data Facility Reporting and Linkage

Topics

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

Topics

A. General
05/21/2020
FAQ
A21. Will the CAT be ready to accept Industry Member Data in November 2018? If not, when will Industry Members be required to begin reporting to the CAT?

Topics

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

Topics

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

Topics

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

Topics

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

Topics

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?

Topics

A. General

Pagination

« First
‹ Previous
…
9
10
11
12
13
14
15
16
17
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy