Topics | CATNMSPLAN

Content type

Topics

Year

A. General

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

UPCOMING EVENT

Apr

18

Monthly CAT Update (April 18, 2024)

04:15PM EDT

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Displaying 1 - 10 of 155 results

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

Topics

A. General
03/07/2024
Reference Material
Industry Member Onboarding Guide v1.24

Topics

A. General
02/28/2024
Event
Monthly CAT Update (May 16, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/28/2024
Event
Monthly CAT Update (April 18, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
02/28/2024
Event
Monthly CAT Update (June 20, 2024)

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
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
12/07/2023
Announcement
2023 Consolidated Audit Trail Advisory Committee List

Topics

A. General

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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
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
All Topics