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UPCOMING EVENT
Dec
19
Monthly CAT Update (December 19, 2024)
04:15PM EST
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A. General
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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05/10/2019
Technical Specifications
Industry Member Reporting Scenarios v2.0
05/10/2019
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v2.0
05/02/2019
FAQ
A5.
When will Participants begin reporting data to the CAT?
Topics
A. General
05/02/2019
FAQ
A27.
When does Industry Member testing begin?
Topics
A. General
04/29/2019
FAQ
A28.
The CAT Registration form requires that a Registered Principal be named. Must that Registered Principal have a Series 24 license?
Topics
A. General
04/29/2019
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.0
04/16/2019
Event
Industry Update on the Consolidated Audit Trail Focusing on the Firm Designated Identifier (“FDID”) (4/16/2019)
FDID Guidance April 2019
Audio file
Topics
M. Firm Designated ID
U. Allocations
04/11/2019
FAQ
A9.
Who is the Plan Processor for the CAT?
Topics
A. General
04/11/2019
FAQ
L1.
How should orders sent to a Floor Broker on the New York Stock Exchange, NYSE American LLC or NYSE Arca, Inc. be reported to CAT?
Topics
L. Equity Floor Brokers
04/11/2019
FAQ
O1.
What are the mechanisms for reporting to CAT?
Topics
O. Technical Requirements
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