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 numbe

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