Sifma Adds Voice to CAT Personal Information Row

Lobby group is looking at other types of data that it can suggest to the SEC for use in the CAT.


The CAT takes in data from self-regulatory organizations (SROs), such as securities exchanges, to allow regulators and other agencies to have access to information on the full lifecycle of a suspicious trade, should they wish to investigate. It will also collect information from broker-dealers on trading activity at a later date. However, market participants are concerned that the information reported will have to include personally identifiable information (PII), including social security

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 or view our subscription options here:

You are currently unable to copy this content. Please contact to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Waterstechnology? View our subscription options

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