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A. General

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

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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

W. Fee Dispute Resolution

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03/21/2018
FAQ
A20. Will there be third-party auditing requirements to make sure the CAT is working properly?

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A. General
03/21/2018
FAQ
A3. Does the industry have a role in the management of the CAT?

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A. General
03/21/2018
FAQ
A16. What are the requirements for accessing historical CAT Data?

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A. General
03/21/2018
FAQ
A15. How will the SEC and Participants access the CAT Data for regulatory purposes?

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A. General
03/21/2018
FAQ
A14. Will CAT tie the audit trail data to clearing data?

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A. General
03/21/2018
FAQ
A13. Will SIP and OPRA data be included in the CAT?

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A. General
03/21/2018
FAQ
A18. Will the CAT provide the regulators with access to uncorrected data for surveillance?

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A. General
01/30/2018
Event
Industry Update on the Consolidated Audit Trail (1/30/18)
- CAT Industry Webcast 1/30/2018 - Presentation
Audio file

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A. General
01/10/2018
Governance
SEC Approved CAT NMS Plan Amended Excluding Participant CAT Fees (1/10/2018)

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A. General
12/19/2017
Event
Industry Update on the Consolidated Audit Trail (12/19/17)
- CAT Industry Webcast 12/19/2017 - Presentation
Audio file

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A. General

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