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FINRA published the Consolidated Audit Trail ("CAT") Onboarding Guide to provide broker-dealers with the steps necessary to access the CAT Test and Production Environments.
within Intellectual Property, International Law, Litigation and Mediation & Arbitration topic(s)
FINRA published the Consolidated Audit Trail
("CAT") Onboarding Guide to provide broker-dealers with
the steps necessary to access the CAT Test and Production
Environments.
The CAT Guide outlines the steps that broker-dealers and their
CAT reporting agents must follow to gain access to the CAT system,
including (i) registration, (ii) entering into relevant CAT
reporting agreements, (iii) designating CAT account administrators,
(iv) establishing and managing connectivity to CAT, (vi) for ATS
operators, registering ATS order types, and (vii) conducting, and
certifying completion of, CAT testing.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
