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The Consolidated Audit Trail (CAT) is a regulatory reporting utility commissioned by the Securities and Exchange Commission (SEC) to enable regulators to more fully track trading activity and boost transparency; the CAT also heralds significant new obligations and reporting requirements for firms.

The order audit trail system (OATS) is a computerized regulatory mechanism that maintains detailed records of securities transactions. OATS requires member firms of FINRA to automatically record and report orders to FINRA.

The SEC Rule 613 Compliance Audit Trail (CAT) NMS requires anyone trading on the National Market System (NMS) to report all transactions (quotes and orders) with an accuracy within 50 milliseconds for FINRA Industry Members and 100 microseconds for FINRA Participants, forensically traceable to the National Institute of ...

FINRA has established the Order Audit Trail System (OATS), as an integrated audit trail of order, quote, and trade information for all NMS stocks and OTC equity securities.

The SEC established the Consolidated Audit Trail (the CAT) to enable regulators to track all order and trading activity throughout the U.S. markets for listed equities and options.

Rule 613 of Regulation NMS requires national securities exchanges and national securities associations to jointly submit a national market system plan to the Securities and Exchange Commission (SEC) to create, implement, and maintain the CAT.

The Consolidated Audit Trail (CAT) is a regulatory reporting utility commissioned by the Securities and Exchange Commission (SEC) to enable regulators to more fully track trading activity and boost transparency; the CAT also heralds significant new obligations and reporting requirements for firms.

Rule 613 of Regulation NMS requires national securities exchanges and national securities associations to jointly submit a national market system plan to the Securities and Exchange Commission (SEC) to create, implement, and maintain the CAT.

The order audit trail system (OATS) is a computerized regulatory mechanism that maintains detailed records of securities transactions. OATS requires member firms of FINRA to automatically record and report orders to FINRA.

The CAT is a regulatory reporting tool commissioned by the SEC and being developed by FINRA. OATS includes order, quote, and trade information for all NMS stocks and OTC equity securities. CAT includes all equities and options data and will ultimately include more granular firm and customer data.

The SEC Rule 613 Compliance Audit Trail (CAT) NMS requires anyone trading on the National Market System (NMS) to report all transactions (quotes and orders) with an accuracy within 50 milliseconds for FINRA Industry Members and 100 microseconds for FINRA Participants, forensically traceable to the National Institute of ...

FINRA Rule 2111 requires that a firm or associated person have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer.

FINRA has established the Order Audit Trail System (OATS), as an integrated audit trail of order, quote, and trade information for all NMS stocks and OTC equity securities.

Adopting Release at 45725-45726. Rule 613(a)(1) requires the SROs to submit the plan to the Commission on or before 270 days from the date of publication of the Adopting Release in the Federal Register.

The SEC established the Consolidated Audit Trail (the CAT) to enable regulators to track all order and trading activity throughout the U.S. markets for listed equities and options.

The OATS Rules require member firms to report to FINRA order information for Nasdaq-listed equity securities and OTC equity securities.

Rule 613 of Regulation NMS requires national securities exchanges and national securities associations to jointly submit a national market system plan to the Securities and Exchange Commission (SEC) to create, implement, and maintain the CAT.

Rule 613 of Regulation NMS requires national securities exchanges and national securities associations to jointly submit a national market system plan to the Securities and Exchange Commission (SEC) to create, implement, and maintain the CAT.

The CAT is a regulatory reporting tool commissioned by the SEC and being developed by FINRA. OATS includes order, quote, and trade information for all NMS stocks and OTC equity securities. CAT includes all equities and options data and will ultimately include more granular firm and customer data.

FINRA Rule 2111 requires that a firm or associated person have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer.

Adopting Release at 45725-45726. Rule 613(a)(1) requires the SROs to submit the plan to the Commission on or before 270 days from the date of publication of the Adopting Release in the Federal Register.

The OATS Rules require member firms to report to FINRA order information for Nasdaq-listed equity securities and OTC equity securities.