Preparing for Client Focused Reform Requirements: Key Considerations
Join SIFMA and the SIFMA C&L Society on January 21, 2021 from 1:00-2:15pm ET for our latest webinar on how…
The U.S. Securities and Exchange Commission (SEC) is creating a Consolidated Audit Trail (CAT) that would enable regulators to track all activity throughout the U.S. for listed-equities and options.
On September 16, 2019, SIFMA and Deloitte will host an industry conference in New York City, from 8:00 a.m. to 12:30 p.m., that will describe in detail the reporting requirements and what firms (CAT Reporters) should consider to ensure a successful implementation of the CAT.
The conference will include a Regulatory Perspective and discussions on Technical Specifications and Project Management. Webinar option also available.
Download SIFMA’s recently published Firm’s Guide to the Consolidated Audit Trail, developed with Deloitte.
The U.S. Securities and Exchange Commission (SEC) is creating a Consolidated Audit Trail (CAT) that would enable regulators to track all activity throughout the U.S. for listed-equities and options.
On September 16, 2019, SIFMA and Deloitte will host an industry conference in New York City, from 8:00 a.m. to 12:30 p.m., that will describe in detail the reporting requirements and what firms (CAT Reporters) should consider to ensure a successful implementation of the CAT.
The conference will include a Regulatory Perspective and discussions on Technical Specifications and Project Management. Webinar option also available.
Download SIFMA’s recently published Firm’s Guide to the Consolidated Audit Trail, developed with Deloitte.