Finra and the SEC are working on identifiers that mask personally identifiable information.
A discussion about blockchain projects in the capital markets, the crypto space and further delays for the CAT.
Under new plan, industry participants will begin reporting equities in April, with testing to commence in December.
A look at what's to come at FIA Boca; Finra was named the CAT plan processor; a Waters magazine relaunch.
While no one involved in the building of the stalled Consolidated Audit Trail is free from blame, Anthony says there are reasons to believe the CAT won’t ever materialize, regardless of the plan processor.
First, some pointed comments about the Consolidated Audit Trail and then Martin Boyd discusses the fintech market.
Technical specifications will remain the same even as the committee works on finding a new database operator.
WatersTechnology investigates the torturous journey to create a stock-trading database for the US, and where the project goes from here.
US Consolidated Audit Trail consortium fires database processor in shock move.
After a decade leading data industry association the Financial Information Forum, Kimmel is well-versed in directing industry-wide initiatives.
The consolidation of the OMS market was one of the biggest stories this year as deals were made right after the other.
There were no major hiccups when the CAT was rolled-out to SROs on November 15 but it is still not ready for full industry implementation.
The Consolidated Audit Trail will begin receiving reports on November 15, a year after it was supposed to start.
Exegy will provide timestamp information on trades during the day for the ambitious project.
Waters examines some of the most important events in financial technology of the past 25 years.
The Commission says it is open to providing leeway to broker-dealers if the CAT cannot accept some trade data.
Eze Software’s Phil Christianson gives five tips for improving a firm’s use of the Agile methodology, and Anthony and James look at the latest CAT development.
If a House bill seeking to ban the gathering of PII data passes, plan processor says it will wait for guidance from the NMS committee.
Montagnino has held a range of compliance and surveillance-related roles at banks and trading firms.
While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…
Broker-dealers should look into gathering data that may be reported into the CAT even before the system goes live for its own internal purposes, experts say.
Experts say the structure of the decision-making process hinders its speed.
Wavelength Podcast Episode 118: CAT ‘State of the Union’, RTS 27 & 28 Concerns, The ‘Big Tech’ Dilemma
Anthony and James discuss some of the big stories to come out of TradeTech Europe and then three legal experts look at how the SEC has been quiet about the CAT.
Tradeworx, now Thesys Group, is the latest in a series of firms that has decided to pull back from trading activities and focus on fintech. And it’s unlikely to be the last.