The right insights, right now

Access the latest news, analysis and trends impacting your business.

Explore our insights by topic:

About Broadridge


Are You Ready to Rise to the CAT Challenge?

Use this checklist to get on track with the consolidated audit trail deadlines.

Are you ready to rise to the CAT challenge?

The industry timeline for implementing the consolidated audit trail (CAT) is underway. For U.S. broker-dealers to be ready for the first go-live phase, they will need to start phase 2a industry testing in August 2019 and complete it by November 2019.

The following timeline and checklist will help you stay ahead of critical CAT deadlines.

Here is your CAT preparation timeline:

  • October 2018

    Select a provider

  • February 2019

    Solution onboarding/implementation

  • May/June 2019

    Begin internal testing

  • July 2019

    End internal testing

  • August 2019

    Begin Phase2a industry testing

  • November 2019

    Complete Phase2a industry testing and first go-live of CAT