WebPhase 2e of CAT is a complicated linkage event and there are things firms should be doing to prepare. In today’s podcast, Oyster CEO, Buddy Doyle, and Oyster’s CAT expert … WebMay 21, 2024 · Summary FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2024, and will run through June 27, 2024. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting …

SEC Rule 613 consolidated audit trail compliance

WebConsolidated Audit Trail, as amended from time to time. [(g)] (h) "CAT-Order-ID" means a unique order identifier or series of unique order ... Phase 2e has been implemented, subject to any applicable exemptive relief or amendments to the CAT NMS Plan. [(t)] (u) "Initial Plan Processor" means the first Plan Processor selected by the Operating WebIn response to the difficulty in determining the cause of the Flash Crash, on July 18, 2012 the SEC adopted Rule 613 to create the Consolidated Audit Trail (CAT), intended to allow regulators to monitor activity throughout the U.S. securities markets. third at bankside bronx

Consolidated Audit Trail Phase 2e Delayed Oyster …

WebOct 27, 2024 · The Limited Liability Company Agreement of Consolidated Audit Trail, LLC is the CAT NMS Plan. Unless otherwise noted, capitalized terms are used as defined in Rule 613, in the CAT NMS Plan, or in this letter. 3. See. 15 U.S.C. § 78mm(a)(1), which provides, in relevant part, that the “Commission, by rule, regulation, or WebConsolidated Audit Trail. (v) “Introducing Industry Member” means a broker -dealer that does not qualify as a Small Industry Member solely because such broker-dealer satisfies Rule 0-10(i)(2) under the Exchange Act in that it introduces transactions on a fully disclosed basis to clearing firms that are not small businesses or WebSECTION B. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE Rule 7.20. Definitions. For purposes of this Section B to Chapter 7: (a) “Account Effective Date” means: (1) with regard to those circumstances in which an Industry Member has established a trading relationship with an institution or an individual but has not established an account third astrological sign