Shelly Bohlin is Chief Operating Officer of FINRA CAT LLC, a subsidiary of FINRA that is the Plan Processor for the Consolidated Audit Trail (CAT). She also co-chairs the CAT Industry Member Technical Specifications Working Group. In addition, Ms. Bohlin served on the CAT Plan Participant Leadership Team until FINRA was selected as the CAT Plan Processor.
Previously, Ms. Bohlin was Vice President in the Quality of Markets Section of FINRA’s Market Regulation Department. She oversaw the Market Analysis and Audit Trail Group, which is responsible for monitoring member-firm compliance with FINRA rules and federal securities laws related to market making, order handling, trade reporting and FINRA’s Order Audit Trail System (OATS).
Ms. Bohlin worked in FINRA’s Market Regulation Department for the past 25 years in various surveillance areas, including insider trading, anti-competitive practices, alternative trading systems, and fixed-income securities.
She is a Certified Public Accountant and has a B.S.B.A. in Finance and Accounting from the University of Arkansas.