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A. General

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

UPCOMING EVENT

Jun

26

Monthly CAT Update (June 26, 2025)

04:15PM EDT

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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

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R. Clock Synchronization

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10/12/2023
FAQ
A10. This FAQ has been retired and archived. Please refer to FAQ V1.

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10/12/2023
FAQ
A10. How is the cost of the CAT being funded?

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09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

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09/15/2023
Announcement
CAT Funding Model Approval

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08/17/2023
Event
Monthly CAT Update (August 17, 2023)
- Monthly CAT Update (August 17, 2023) - Presentation
Audio file

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08/10/2023
CAT Alert
CAT Alert 2021-02- Standards for Completing the Customer And Account Reporting Disclosure Form

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08/07/2023
Announcement
2023 Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

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A. General
07/07/2023
Reference Material
Erroneous Events Self Reporting Form v1.4

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A. General
06/15/2023
Event
Monthly CAT Update (June 15, 2023)
- Monthly CAT Update (June 15, 2023) - Presentation
Audio file

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Q. Customer and Account Information
05/30/2023
Announcement
5/27/22 This Announcement Has Been Superseded

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