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A. General

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

UPCOMING EVENT

Sep

18

Monthly CAT Update (September 18, 2025)

04:15PM EDT

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A. General

B. Reporting Requirements

C. Definitions

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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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07/23/2024
CAT Alert
CAT Alert 2024-01: Mapping of Exempted Port-Level Settings

Topics

A. General
07/18/2024
Event
Monthly CAT Update (July 18, 2024)
- Monthly CAT Update (July 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
06/20/2024
Event
Monthly CAT Update (June 20, 2024)
- Monthly CAT Update (June 20, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
05/17/2024
Event
Monthly CAT Update (May 16, 2024)
- Monthly CAT Update (May 16, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/18/2024
Event
Monthly CAT Update (April 18, 2024)
- Monthly CAT Update (April 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/21/2024
Event
Monthly CAT Update (March 21, 2024)
- Monthly CAT Update (March 21, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/07/2024
Reference Material
FINRA CAT Connectivity Supplement for Industry Members v1.17

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A. General
02/15/2024
Event
Monthly CAT Update (February 15, 2024)
- Monthly CAT Update (February 15, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/18/2024
Event
Monthly CAT Update (January 18, 2024)
- Monthly CAT Update (January 18, 2024) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/20/2023
Event
Monthly CAT Update (December 19, 2023)
- Monthly CAT Update (December 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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