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SEC Pushing for Consolidated Audit Trail

May 3, 2016 by Eugene Grygo

The SEC voted late last month to move ahead with the final phase of the consolidated audit trail (CAT) project, part of a proposed national market system (NMS) plan to “create a single, comprehensive database that would enable regulators to efficiently track all trading activity in the U.S. equity and options market,” officials say. The… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Data Management, Risk Management, Governance, FinTech Trends, Regulation & Compliance, Industry News Tagged With: broker dealers, CAT, Cinnober, consolidated audit trial, FINRA, JPX Exchange group, Mary Jo White, Osaka Securities Exchange, Randy Snook, Regulation NMS, Richard Ketchum, risk monitoring, SEC, SEC Rule 613, Sifma, SROs, Tokyo Stock Exchange Group, Tom Gira, U.S. Securities and Exchange Commission

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