Industry Tight-Lipped on CAT Status as Deadline Hits

Participants refuse to say whether reporting will begin as scheduled after a last-ditch delay effort was rejected by the SEC.

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Self-regulatory organizations (SROs), including the main US stock markets, were scheduled to begin reporting participant data to the Consolidated Audit Trail (CAT) as of November 15, 2017. However, a number of SROs sent a lengthy letter to the US Securities and Exchange Commission (SEC) on November 13, requesting delays to the scheduled compliance dates of up to a year or more, amid ongoing technical issues and concerns regarding cybersecurity.

On November 14, late in the day, SEC chairman Jay

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