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A. General

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

UPCOMING EVENT

Jul

17

Monthly CAT Update (July 17, 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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06/12/2015
Technical Specifications
EBS-CAT Gap Analysis

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A. General
04/03/2015
Governance
Supplement #1 to Exemptive Request Letter: Allocation Report Examples

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A. General

M. Firm Designated ID
01/30/2015
Governance
Notice of Filing of Exemptive Request Letter

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A. General

M. Firm Designated ID
09/30/2014
Governance
Amended and Restated CAT NMS Plan Submission (2/17/2015)

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A. General
09/30/2014
Governance
Initial CATNMS Plan Submission (9/30/2014)

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Event
Monthly CAT Update (August 21, 2025)

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B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Event
Monthly CAT Update (July 17, 2025)

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B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Announcement
2019 Audited Financial Statements for CAT NMS, LLC and Consolidated Audit Trail, LLC

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Event
Industry Webinar - CAT 101
- CAT 101 01/08/20 - Presentation
Audio file

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B. Reporting Requirements

M. Firm Designated ID

N. Third Party Reporting

P. Feedback and Error Correction

R. Clock Synchronization

T. Production Readiness Testing
Event
Monthly CAT Update (September 18, 2025)

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