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The Consolidated Audit Trail

The Consolidated Audit Trail. The Consolidated Audit Trail. The Consolidated Audit Trail will track orders throughout their life cycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently track activity in Eligible Securities throughout the U.S. markets. The primary goal of Securities and Exchange Commission (SEC) Rule 613. Is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading in the US securities markets. March 28, 2018.

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The Consolidated Audit Trail | catnmsplan.com Reviews

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The Consolidated Audit Trail. The Consolidated Audit Trail. The Consolidated Audit Trail will track orders throughout their life cycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently track activity in Eligible Securities throughout the U.S. markets. The primary goal of Securities and Exchange Commission (SEC) Rule 613. Is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading in the US securities markets. March 28, 2018.

<META> KEYWORDS

1 menu

2 about cat

3 rollout plan

4 rfp process

5 exemptive request letter

6 gap analyses

7 cat nms plan

8 industry feedback

9 guiding principles

10 one time written assessments

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menu,about cat,rollout plan,rfp process,exemptive request letter,gap analyses,cat nms plan,industry feedback,guiding principles,one time written assessments,how it works,training,news,general faq,interpretive faq,technical specifications,search for,guides

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The Consolidated Audit Trail | catnmsplan.com Reviews

https://catnmsplan.com

The Consolidated Audit Trail. The Consolidated Audit Trail. The Consolidated Audit Trail will track orders throughout their life cycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently track activity in Eligible Securities throughout the U.S. markets. The primary goal of Securities and Exchange Commission (SEC) Rule 613. Is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading in the US securities markets. March 28, 2018.

INTERNAL PAGES

catnmsplan.com

1

RFP Process - Consolidated Audit Trail

https://www.catnmsplan.com/process

SEC Rule 613: Consolidated Audit Trail (CAT). Questions for Industry Consideration. Past Events and Announcements. As part of the RFP development process, the SROs published a Proposed RFP Concept Document on December 5, 2012 for public comment in order to obtain feedback on the feasibility and costs of implementing the CAT reporting requirements being considered by the SROs. Comments received informed the content of the final RFP. February 26, 2013. Intent to Bid submission. March 5, 2013. March 8, 2013.

2

Industry Feedback - Consolidated Audit Trail

https://www.catnmsplan.com/industryFeedback

SEC Rule 613: Consolidated Audit Trail (CAT). Questions for Industry Consideration. Past Events and Announcements. Industry Feedback on the Consolidated Audit Trail. 02/22/16 FIF Comments on CAT NMS Plan Security and Confidentiality Requirements. 02/10/16 FIF Comments on Technical Amendment to CAT NMS Plan. 10/20/15 FIF Recommendations Regarding CAT Error Processing. 06/24/15 FIF CAT Implementation and Retirement Schedule. 02/17/15 FIF Clock Offset Survey Preliminary Report. 01/31/13 FIF Comments on Info...

3

Selection Plan - Consolidated Audit Trail

https://www.catnmsplan.com/SelectionPlan

SEC Rule 613: Consolidated Audit Trail (CAT). Questions for Industry Consideration. Past Events and Announcements. Selection Plan, including all amendments filed with the Commission. Notice of Filing of the Selection Plan. Comment Received and the SROs' Response to Comments. Please reference Release No. 34-70892; File No. 4-668 for appropriate comments and responses. On December 12, 2014, the SROs filed an Amendment to the Selection Plan. Notice of Filing of the Amendment to the Selection Plan.

4

Gap Analysis - Consolidated Audit Trail

https://www.catnmsplan.com/GapAnalyses

SEC Rule 613: Consolidated Audit Trail (CAT). Questions for Industry Consideration. Past Events and Announcements. The gap analyses reflect the existing regulatory landscape and Rule 613's requirements. The requirements in the final CAT NMS Plan may differ from those enumerated in Rule 613. Ndash; new as of 6/12/15. Ndash; new as of 5/26/15.

5

CAT_QIC - Consolidated Audit Trail

https://www.catnmsplan.com/QuestionsforIndustryConsideration

SEC Rule 613: Consolidated Audit Trail (CAT). Questions for Industry Consideration. Past Events and Announcements. Questions for Industry Consideration. Selected Topics of the NMS Plan – Feedback Requested. Representative Order Proposal - Feedback Requested. CAT Intrafirm Order Linkages. Broker-Dealer CAT Order to Exchange Order Linkages. Data Transmission and Error Correction. Selected Topics of the NMS Plan – Feedback Requested. Selected Topics of the NMS Plan. New as of 4/22/2013). Could firms identif...

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Meanderful: November 2016

https://meanderful.blogspot.com/2016_11_01_archive.html

Monday, 28 November 2016. I received something that suggested I may be interested in the US Security and Exchange Commission's (SEC) app for Android. I was not sure if that would really suit, but let's have a short meander. Here is the link. Which gives you the details of the app which looks like this:. US SEC Android app - click to enlarge). Installs: 50 - 100". Wow, that seems low for an official SEC app. Is it really that boring? Not a good sign? None of the above? Is it the same for you? I just tweet...

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DataBoiler

http://www.databoiler.com/volcker.htm

Click below to see our suite of Volcker Compliance solutions. Click above to see a related presentation. Volcker rule compliance and product comparison. Risk and Compliance Resources. 617) 237-6111 / info@DataBoiler.com. RENTD Independent Testing Preventive System. FinTech Pioneer Risk Strategist. Click here to join our. Dodd-Frank 613 Consolidated Audit Trail ( CAT NMS Plan. DataBoiler's respond to SEC requests for comment. Volcker, a quest for answers (9-parts series):. BCBS 239: Major in the Major.

finra.org

Consolidated Audit Trail (CAT) | FINRA.org

http://www.finra.org/industry/issues/cat

Skip to main content. Office of Fraud Detection and Market Intelligence (OFDMI). Office of the Chief Economist. Central Registration Depository (Web CRD). Regulatory Filing and Reporting. Trade Reporting and Compliance Engine (TRACE). FINRA Institute at Wharton. Anti Money Laundering (AML). Firm Gateway Sign In. Consolidated Audit Trail (CAT). For more information, see the CAT NMS Plan website. FINRA submitted its proposal in response to the Consolidated Audit Trail (CAT) RFP on March 21, 2014. On Septem...

brokerdealer.com

BrokerDealer Blog |

http://brokerdealer.com/blog

Chicago Politico & Owner of Cabrera Capital Mrkts in 4mil Loan Default. August 17, 2016. August 17, 2016. By Broker Dealer Team. Crains Chicago Business)-Martin Cabrera, Jr, the chairman of the Chicago Plan Commission, who’s also on the city’s Public Building Commission and who’s also owner/founder of minority broker-dealer Cabrera Capital Markets, has been hit with a lawsuit alleging he has defaulted on a $3.3 million loan. Martin Cabrera, Jr. Of Midway International Airport. Ventura Carlos Rojas Cardon...

leiroc.org

LEI uses

http://www.leiroc.org/lei/uses.htm

How to obtain an LEI. ROC standards and publications. At the G-20 Summit of June 2012, the heads of state and government encouraged "global adoption of the LEI to support authorities and market participants in identifying and managing financial risks" (see paragraph 44 of the G20 Communiqué. The Global LEI System was established for a large range of potential uses including the following:. Examples of laws and regulations can be found in the LEI ROC Progress Report of November 2015. Financial institution...

meanderful.blogspot.com

Meanderful: Crazy CAT approved by SEC

https://meanderful.blogspot.com/2016/11/crazy-cat-approved-by-sec.html

Wednesday, 16 November 2016. Crazy CAT approved by SEC. Another crazy cat ( source. On the 15th of November, yesterday, the SEC finalised and released its nine hundred and seventy nine page Order approving the Consolidated Audit Trail (CAT) Plan. An important context is that the CAT plan was "inspired". Here is the press release. From the SEC, and here is the final report. Considering the comments and meetings. Around the SEC's RFC. In summary, it's absurd. That may be a nice, homely sentiment but the fa...

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The Consolidated Audit Trail

The Consolidated Audit Trail. The Consolidated Audit Trail. The Consolidated Audit Trail will track orders throughout their life cycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently track activity in Eligible Securities throughout the U.S. markets. The primary goal of Securities and Exchange Commission (SEC) Rule 613. Is to improve the ability of the SEC and the Self-Regulatory Organizations (SROs) to oversee trading in the US securities markets. March 28, 2018.

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