Tag: Consolidated Audit Trail

CAT Numbers are Out of Whack

After four years of waiting for the self-regulatory organizations to submit their plan for the Consolidated Audit Trail, the Securities and Exchange Commission unanimously approved to release it for comment. In the next few days, the plan will appear in the Federal Register and the SEC will have 180 days from then to select a…

It’s SIFMA Time Again

Yep, the unofficial start of summer is almost here. Forget about Memorial Day or the first summer bank holiday being the start of summer – that is mere tripe for civilians. For financial technologists, vendor community and trade press, summer starts the Thursday after SIFMA Tech conference. Before that is a 48-hour marathon of industry…

SEC Grants Consolidate Audit Trail Extension

It’s an unwritten rules of journalism: File a story saying that an event has not happened and between its filing and going live it will happen. Earlier today, the U.S. Securities and Exchange Commission (SEC) issued its extension approval in the Federal Register that pushes the deadline for the National Market System (NMS) deadline back…