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SEC Request for Comment: Consolidated Audit Trail

September 27, 2017

On August 30, 2017, the SEC issued an order instituting proceedings to determine whether to approve or disapprove rule proposals filed by FINRA and the national securities exchanges to eliminate or modify certain rules that require the collection or reporting of information that is duplicative of the information that will be collected by the Consolidated Audit Trail (CAT) established pursuant to the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”). The comment period expires September 27, 2017. See the SEC Notice of Order.


September 27, 2017
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