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.

Program

12:00pm – 12:10pm

Participants

Ellen Greene

Speaker

Ellen Greene

Managing Director, Equity and Options Market Structure

SIFMA

Ellen Greene’s Biography

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

Ellen Greene

Managing Director, Equity and Options Market Structure

SIFMA

Ellen Greene’s Biography

Panelists

Gregg E. Berman, Ph.D.

Director of Market Analytics and Regulatory Structure

Citadel Securities

Gregg E. Berman, Ph.D.’s Biography

Shelly Bohlin

Chief Operating Officer, FINRA CAT LLC

FINRA

Shelly Bohlin’s Biography

Michael J. Simon

Independent Senior Advisor

Deloitte & Touche LLP

Chair of the CAT Operating Committee

Michael J. Simon’s Biography

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

David Emero

Vice President, Regulatory Operations

Goldman Sachs

David Emero’s Biography

Panelists

David Campbell

Vice President, Strategy

Broadridge Financial Solutions

David Campbell’s Biography

Peter Gargone

Founder and CEO

n-Tier

Peter Gargone’s Biography

Mark Hendrickson

Trading and Streetside Operations

D.A. Davidson

Mark Hendrickson’s Biography

Jeremy Kahn

Regulatory Reporting Specialist

Jane Street

Jeremy Kahn’s Biography

William Leahey

Head of Regulatory Compliance and Wealth Management

Refinitiv

William Leahey’s Biography

1:50pm – 2:00pm

Participants

Ellen Greene

Speaker

Ellen Greene

Managing Director, Equity and Options Market Structure

SIFMA

Ellen Greene’s Biography

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.

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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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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.