CAT Reporting

A managed solution which validates exchange files, submits required data to the Consolidated Audit Trail (CAT), and resolves data problems with individual brokers.

On April 20, 2020, industry participants began being required to submit reports in order to meet CAT regulatory requirements. S3’s industry expertise and leadership, paired with extensive knowledge of trading and operations across all asset classes, allows S3 to provide clients with unparalleled support, guidance, and reports, needed to meet the new requirements.

Here is a brief description of how S3 CAT Reporting works, highlighting key features and benefits.


How it Works

  • Client submits CAT reportable events on a daily basis, to S3
  • S3 acts as CAT repository on behalf of the Client and submits daily CAT formatted reports in compliance with regulatory mandates
  • All data exceptions are reported to the Client. S3 assists with correcting CAT exceptions and provides support to manage CAT exceptions
  • If necessary, data files are re-submitted to S3
  • S3 submits CAT corrections on behalf of the Client

Key Features

  • Allows brokers to manage their CAT submissions
  • Verifies the data to ensure all information is present 
  • Flags all exceptions
  • Offers a variety of tools to facilitate the management of exceptions
  • Customizable tools allows brokers to interact in a secure audit environment that is easy to view and prepare CAT data for regulatory reports that fulfill all mandates

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