SII Graduate Program
About the 2021 SII Graduate Program The 2021 SII Graduate Program is an enhanced virtual program. The program will provide…
CAT Implementation Update
Overview
As the securities industry works towards the final implementation of the Consolidated Audit Trail (CAT), join us for a two-part webinar, February 18 from 12-2 p.m. ET, on the remaining milestones that must be completed prior to the July 2022 deadline.
The first part of this webinar will bring together key stakeholders to discuss the current state of the CAT, what lies ahead, and the impacts to broker dealers.
Following a brief break, the second part will describe how firms should prepare for the upcoming phases of the implementation, focusing on:
- Lessons learned from Phases 2a and 2b
- Technical and operational challenges
- How firms and service providers are working through the complexity of the requirements
Registration is complimentary for SIFMA members and industry regulators.
SIFMA Webinar
CAT Implementation Update
Registration Rates – Until 2/18/21
- Members Complimentary
- Non-Members $99
- Regulators Complimentary
Overview
As the securities industry works towards the final implementation of the Consolidated Audit Trail (CAT), join us for a two-part webinar, February 18 from 12-2 p.m. ET, on the remaining milestones that must be completed prior to the July 2022 deadline.
The first part of this webinar will bring together key stakeholders to discuss the current state of the CAT, what lies ahead, and the impacts to broker dealers.
Following a brief break, the second part will describe how firms should prepare for the upcoming phases of the implementation, focusing on:
- Lessons learned from Phases 2a and 2b
- Technical and operational challenges
- How firms and service providers are working through the complexity of the requirements
Registration is complimentary for SIFMA members and industry regulators.
Register
| Registration Rates | Complimentary |
|---|
| Registration Rates | $99 |
|---|
| Registration Rates | Complimentary |
|---|
| Members | Non-Members | Regulators | |
|---|---|---|---|
| Registration Rates | Complimentary | $99 | Complimentary |
Program
12:00pm – 12:10pm
Participants
Ellen Greene
Speaker
12:10pm – 12:55pm
As the industry works towards the final implementation of CAT Phases 2a and 2b, there are still several significant milestones which must be completed prior to CAT’s full implementation in…
As the industry works towards the final implementation of CAT Phases 2a and 2b, there are still several significant milestones which must be completed prior to CAT’s full implementation in 2022. During this session, key CAT stakeholders will discuss its current state, what lies ahead, and the impacts to broker dealers.
Participants
Ellen Greene, Gregg E. Berman, Ph.D., Shelly Bohlin, Michael J. Simon
Moderator
Panelists
12:55pm – 1:05pm
Break
1:05pm – 1:50pm
As Firms prepare for upcoming phases of CAT implementation, what technical and operational challenges lay ahead? How are firms and vendors working through the complexity of the requirements to ensure…
As Firms prepare for upcoming phases of CAT implementation, what technical and operational challenges lay ahead? How are firms and vendors working through the complexity of the requirements to ensure a successful implementation? Join panelists for an informative discussion about what should be top of mind for firms as they prepare for these critical reporting dates in 2021 and 2022, and what lessons can be learned from Phases 2a and 2b.
Participants
David Emero, David Campbell, Peter Gargone, Mark Hendrickson, Jeremy Kahn, William Leahey
Moderator
Panelists
1:50pm – 2:00pm
Participants
Ellen Greene
Speaker
Venue
Virtual Gathering
Webinars, Webcasts, Virtual
Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.
Sponsorship
Interested in sponsoring a SIFMA Webinar? Contact Rebecca Hawkins at 212.313.1250.
Sponsors
SIFMA's Strategic Partners
Media
Media Inquiries
Contact Katrina Cavalli at 212.313.1181.
Media Registration
Contact Evan Grogan at 212.313.1134
Policy
View SIFMA’s official Webinar Press Policy.
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Terms and Conditions
Code of Conduct
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Cancellations
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of the webinar. No substitutions or transfers will be accepted.