CAT Seeks Approval to Mask Personal Data

The CAT is required to gather personal information, but the CAT NMS committee wants to use a masking method for security.


The self-regulatory organizations (SROs) behind the Consolidated Audit Trail (CAT) are asking the Securities and Exchange Commission (SEC) to allow the system not to gather certain personal information.

In a letter dated January 29, the CAT NMS plan committee asked the SEC to let the CAT refrain from collecting and storing social security numbers, dates of birth, and individual trader account numbers. It asked the regulator to approve the use of a planned CAT Customer ID (CCID) that will be

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