Finra and the SEC are working on identifiers that mask personally identifiable information.
The plan will lay out a common process to move accounts if a broker-dealer falls into difficulties.
Under new plan, industry participants will begin reporting equities in April, with testing to commence in December.
A look at what's to come at FIA Boca; Finra was named the CAT plan processor; a Waters magazine relaunch.
Technical specifications will remain the same even as the committee works on finding a new database operator.
WatersTechnology investigates the torturous journey to create a stock-trading database for the US, and where the project goes from here.
US Consolidated Audit Trail consortium fires database processor in shock move.
The expanded data collection efforts are a response to changes in fixed income trading practices and increased volatility.
There were no major hiccups when the CAT was rolled-out to SROs on November 15 but it is still not ready for full industry implementation.
The Consolidated Audit Trail will begin receiving reports on November 15, a year after it was supposed to start.
Increasingly sophisticated schemes are targeting firms and individuals, watchdogs say.
The idea of self-regulation makes for a good soundbite, but the practicality of the matter leaves much to be desired.
When the Consolidated Audit Trail failed to go live in November last year, questions came as to why—but answers were not easy to come by.
Finra says Citi's inaccurate ratings led to numerous porblems for portfolio manager clients and retail investors.
Market Data Protection Act will increase security requirements for market data held by the SEC and FINRA, lawmakers say.
Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
The platform, Deals, offers a marketplace environment for lenders to look for investors.
AWS migrations have expanded data access and saved money, executives say
Fixed income expansion aimed at addressing new best execution requirements under European rules
Shutting down Oats may take two years and depend on CAT data accuracy.
According to regulatory filings, the CAT will cost the industry $50.7 million for the fiscal year beginning November 2016.
On January 17, the self-regulatory organizations announced that Thesys Technologies had won the right to build the Consolidated Audit Trail, putting it in charge of what will be one of the biggest financial technology projects in the history of the…
Application aims to enhance market intelligence in bond trading through customizable view of Trace data feeds on a single screen.