CAT

SEC Adopts Changes to CAT Plan to Improve Transparency and Accountability

Published On May 18, 2020

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The Consolidated Audit Trail – Process, Framework, Risk – It’s Time to Get Busy!

Published On April 29, 2020

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Changes to CAT Reporting Timelines Due to COVID Pandemic

Published On April 29, 2020

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CAT Gets Pushed Back so that Firms Can Focus on Business Continuity During Pandemic

Published On April 2, 2020

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Steve Randich, FINRA’s CIO, Describes the Fun and Forward Thinking Behind the Regulator’s Move to the Public Cloud and the Journey Ahead as CAT Milestones Continue to be Met

Published On March 19, 2020

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CAT Update – SIFMA Guide; Peirce Privacy Concern; Latest Timeline

Published On October 15, 2019

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