After Delays, CAT Reporting Begins Tomorrow

The Consolidated Audit Trail will begin receiving reports on November 15, a year after it was supposed to start.

calendar

The Consolidated Audit Trail (CAT) is expected to roll out this week after a long journey of missed deadlines and privacy concerns.

On November 15, self-regulatory organizations (SROs), such as exchanges, are expected to begin reporting to the system, which has been built by Thesys CAT. But the real test will not come until a year after when large broker-dealers start reporting to the system followed by smaller broker-dealers in November 2022.

SROs were meant to begin reporting to the CAT last

To continue reading...

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 indvidual account here: