CAT Rollout Moves Forward Following Processor Change

Finra and the SEC are working on identifiers that mask personally identifiable information.

speed-tunnel-fast-quick

With a new consolidated audit trail (CAT) plan processor in place, implementation is ticking up.

In February it was announced that the Financial Industry Regulatory Authority (Finra) would take over as the CAT plan processor, taking the reins from Thesys CAT, which was ousted by the consortium of US stock exchanges responsible for its implementation. The regulator has since created a separate company to oversee the CAT as Finra is one of the organizations that will be reporting and receiving

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact [email protected] or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe

You are currently unable to copy this content. Please contact [email protected] to find out more.

To continue reading...

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here: