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UPCOMING EVENT
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Monthly CAT Update (December 19, 2024)
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A. General
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
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02/21/2019
Reference Material
Consolidated Audit Trail (“CAT”) Clock Synchronization Certification Form
02/21/2019
Technical Specifications
Industry Member Schema v2.2.1 (JSON)
02/20/2019
Event
Industry Update on the Consolidated Audit Trail (2/20/2019)
CAT Industry Webcast 02/20/2019 - Presentation
Audio file
Topics
A. General
01/17/2019
FAQ
M9.
CAT FAQ M2 prohibits use of a customer account number as the FDID. Does this apply to proprietary accounts of an Industry Member?
Topics
M. Firm Designated ID
01/17/2019
FAQ
G4.
If a broker receives a telephone call from a customer who places an order for 100 shares of ABC while on the phone, and the broker simultaneously enters the order into his/her firm’s order handling and execution system as the broker receives the order from the customer over the phone, does the firm need to report to the CAT both a manual receipt time and an Electronic Capture Time?
Topics
G. Manual Orders
11/15/2018
FAQ
A23.
What are the record retention requirements for Industry Member CAT Reporters?
Topics
A. General
11/15/2018
FAQ
A24.
Is CAT a real-time system?
Topics
A. General
11/15/2018
FAQ
B13.
Are all broker-dealers that receive or originate orders in equity securities and listed options subject to the CAT reporting requirements?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B15.
Does the CAT NMS Plan supersede Rule 17a-3?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B16.
Are US registered broker-dealers that operate in a foreign country required to comply with the CAT NMS Plan, including the clock synchronization requirements?
Topics
B. Reporting Requirements
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