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

Sort by

Order

Subscribe

A. General

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

UPCOMING EVENT

Mar

19

Monthly CAT Update (March 19, 2026)

04:15PM EDT

Add To My Calendar

Displaying 181 - 190 of 197 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

Sort by

Order

07/21/2017
Governance
SEC Approved CAT NMS Plan Amended to Include Participant CAT Fees (7/24/2017)

Topics

A. General
06/15/2017
Reference Material
Expansion Report

Topics

A. General
06/15/2017
Reference Material
Clock Synchronization Assessment

Topics

A. General

R. Clock Synchronization
05/22/2017
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (5/22/2017)

Topics

A. General
01/11/2017
Governance
SEC Approved CAT NMS Plan Amended to Include MIAX Pearl (1/11/2017)

Topics

A. General
11/15/2016
Governance
SEC Approved CAT NMS Plan (11/15/2016)

Topics

A. General
02/09/2016
Governance
Clean Version of the 12/23/15 Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission

Topics

A. General
12/23/2015
Governance
12/23/15 Amended and Restated CAT NMS Plan Submission

Topics

A. General
09/02/2015
Governance
Approval Order of Exemptive Request Letter

Topics

A. General

M. Firm Designated ID
09/02/2015
Governance
Supplement #2 to Exemptive Request Letter: Account Effective Date

Topics

A. General

Q. Customer and Account Information

Pagination

« First
‹ Previous
…
12
13
14
15
16
17
18
19
20
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