CAT Rollout Moves Forward Following Processor Change

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


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

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