SEC Looks to Penalize Further CAT Delays

While still not a formal approval of new timelines, industry members should expect CAT deadlines to remain unchanged.


The Securities and Exchange Commission (SEC) has proposed amendments to the plan governing the consolidated audit trail (CAT) that acknowledges, but does not approve, current target dates and sets up consequences for not meeting deadlines to prevent further delays.

This acknowledgment, however, is expected to provide industry members who will report to the database a little more certainty that deadlines will be met.

Under the planned amendments to the CAT NMS (national market system) plan, the

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