Traders Magazine

CAT NMS Selects FINRA as Consolidated Audit Trail Plan Processor

CAT NMS, LLC (CAT NMS) announced that the Financial Industry Regulatory Authority, Inc. (FINRA) has been selected as Plan Processor for the Consolidated Audit Trail (CAT), following a vote by the ...
Traders Magazine

CAT: Elephant in Room, Out of Everyone’s Pocket, Invading Everyone’s Privacy

Five years ago, “CAT’s out of the bag” and Thesys was selected as the Consolidated Audit Trail (CAT) processor in Jan 2017. Two years ago, FINRA replaced Thesys’ role to continue the CAT project. Some ...
Finextra

Consolidate Audit Trail - Timeliness of Reporting

While US broker dealers anticipate the initiation of the Consolidated Audit Trail (CAT), many aspects of this regulation remains a topic of conversation for the industry. One area of particular ...
WatersTechnology

CAT Contract May Need Amendments to Protect Personal Data

The CAT NMS (national market system) plan committee said last week that it is working toward implementing the first phase of the CAT in November 2018. However, a bill awaiting debate in the House of ...
Finextra

Consolidate Audit Trail - Timeliness of Reporting

While US broker dealers anticipate the initiation of the Consolidated Audit Trail (CAT), many aspects of this regulation remains a topic of conversation for the industry. One area of particular ...