In this podcast with FTF News, SIFMA’s Ellen Greene, Managing Director, Equity and Options Market Structure, discusses the Consolidated Audit Trail (CAT) and SIFMA’s concerns over data security within the CAT.  She also provides updates on CAT reporting, ways in which the COVID-19 pandemic has complicated efforts among the firms in scope for the regulations, and the  current situation between SIFMA and the SROs over the legal liability of CAT data breaches.

 

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• SIFMA Podcast: CAT – Concerns Remain About Investor Data Security Ahead of Testing