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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

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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

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05/30/2023
Announcement
5/27/22 This Announcement Has Been Superseded

Topics

A. General

B. Reporting Requirements

Q. Customer and Account Information
05/24/2023
Reference Material
CAT Reporting Agent Agreement (PDF for reference)

Topics

A. General
05/24/2023
Reference Material
CAT Reporter Agreement (PDF for reference)

Topics

A. General
05/19/2023
Event
Monthly CAT Update (May 18, 2023)
- Monthly CAT Update (May 18, 2023) - Presentation
Audio file

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A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
04/21/2023
Event
Monthly CAT Update (April 20, 2023)
- Monthly CAT Update (April 20, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/24/2023
Event
Monthly CAT Update (March 23, 2023)
- Monthly CAT Update (March 23, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
03/07/2023
Announcement
2023 Entitlement Certification Period - CAT Organizations With Super Account Administrators (SAAs)

Topics

A. General
02/24/2023
Event
Monthly CAT Update (February 23, 2023)
- Monthly CAT Update (February 23, 2023) - Presentation
- Processing Changes to the Transaction Report Card - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
01/19/2023
Event
Monthly CAT Update (January 19, 2023)
- Monthly CAT Update (January 19, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
12/15/2022
Event
Monthly CAT Update (December 15, 2022)
- Monthly CAT Update (December 15, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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