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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

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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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08/19/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)
- Monthly CAT Implementation Update (August 19, 2021)-Presentation
- FINRA (SRO) Status Update on OATS Retirement (August 19, 2021)-Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
08/17/2021
Event
CAT CAIS Technical Specification Working Group Q&A - August 17, 2021
- CAT CAIS Technical Specification Working Group Q&A (8/17/2021)-Presentation
Audio file

Topics

Q. Customer and Account Information
08/16/2021
Announcement
Annual FINRA CAT User Account Certification Process For CAT Reporting Agents (CRAs)

Topics

A. General
08/10/2021
Event
Industry Testing Checkpoint Call (August 10, 2021)
- Industry Testing Checkpoint Call (August 10, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/05/2021
Reference Material
CAT NMS LLC 2018 and 2017 Audited Financial Statements
08/05/2021
Reference Material
Consolidated Audit Trail LLC 2020 Financial Statements
08/05/2021
Reference Material
CAT NMS LLC 2019 and 2018 Financial Statements
08/05/2021
Reference Material
Consolidated Audit Trail LLC 2019 Financial Statement
08/04/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call (August 4, 2021)
- Monthly CAIS/LTID Industry Testing Checkpoint Call (8/4/21)- Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/03/2021
Event
CAT Technical Specification Working Group Q&A - August 3, 2021
- CAT Technical Specification Working Group Q&A- 8/03/21
- CAT Technical Specification Working Group Presentation- 8/03/21
Audio file

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B. Reporting Requirements

D. Order Receipt

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