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Industry update on the Consolidated Audit Trail

First Published 6th September 2017

With the approval of the Consolidated Audit Trail (CAT) National Market System (NMS) Plan in 2016, and the selection of Thesys Technologies as the Plan Processor in early 2017, industry timelines for compliance with the CAT are in effect, with Broker Dealers being required to report by November 15, 2018 for large Broker Dealers, and November 15, 2019 for small Broker Dealers.

The CAT NMS Plan requires exchanges, national securities associations, alternative trading systems, and broker-dealers to submit information on trade events and customer data for listed and OTC equities and listed options to the CAT on a daily basis.

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