Cat Reporting Portal

Pets Business Family And Parenting Personal Finance Technology And Computing

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Updated: May 02, 2022

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CATNMSPLAN: Consolidated Audit Trail

FAQs

1

Are cats replacing oats?

In the meantime, the CAT system has evolved to replace OATS. “FINRA has determined that the accuracy and reliability of the Consolidated Audit Trail (CAT) meet the standards approved by the SEC and has determined to retire OATS as of September 1, 2021,” according to the bulletin.
2

What securities are CAT reportable?

Any broker-dealer that is a member of a national securities exchange or Financial Industry Regulatory Authority (FINRA) and handles orders must report to CAT. Eligible securities include NMS stocks, listed options, and over-the-counter (OTC) equity securities.
3

When did CAT go live?

Options Reporting Timeline
Similar to the Equity phase, the test environment for file submission will open in December 2019, but the production “go-live” for file submission will be on May 18, 2020.
4

What is the finra CAT system?

The CAT is a regulatory reporting tool commissioned by the SEC and being developed by FINRA. OATS includes order, quote, and trade information for all NMS stocks and OTC equity securities. CAT includes all equities and options data and will ultimately include more granular firm and customer data.
2. Finra.org

CAT Onboarding Checklist - FINRA

https://www.finra.org/sites/default/files/2020-02/CAT_Onboarding_Check...

Your SAA will need to Create/Entitle CAT User Accounts for the CAT Reporting Portal. • Once a firm meets the prerequisites for access including: registering for ...

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