FINRA CAT, LLC, is the Plan Processor for the Consolidated Audit Trail (CAT) and a subsidiary of the Financial Industry Regulatory Authority (FINRA). CAT tracks orders in exchange-listed equities and options and unlisted equity securities throughout their life cycle and identifies the broker-dealers handling them, thus enabling regulators to effectively monitor activity in eligible securities throughout the U.S. markets in service to protecting investors. CAT was developed and is overseen by the self-regulatory organizations (SROs) (comprised of national securities exchanges and FINRA). The SROs developed the CAT National Market System Plan to create, implement and maintain the CAT. In 2019, the SROs selected FINRA CAT to build and operate the CAT system. FINRA CAT’s mission is to ensure the effective management and operation of the CAT, and the accurate consolidation of the data reported to CAT.

FINRA CAT

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