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Consolidated Audit Trail (CAT)

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Consolidated Audit Trail (CAT)

The Consolidated Audit Trail (CAT)  requires US broker dealers to report US equity and options orders, which will enable regulators to track activity throughout the end-to-end lifecycle of a trade.  The first industry test event is kicking off December 2019 and is expected to go live in April 2020.  The CAT roll-out, and accompanying activities are expected to continue through 2022.  Is your firm prepared to handle the upcoming reporting requirements?

 

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