Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: SRO

SEC Seeks Public Comment on Consolidated Audit Trail Proposal

Posted in Broker-Dealer
The Securities and Exchange Commission plans to publish for public comment a National Market System (NMS) plan to create a consolidated audit trail (CAT) to better enable regulators to track trading in equity and option securities. The CAT plan was submitted jointly by the national securities exchanges and the Financial Industry Regulatory Authority to the… Continue Reading