Tag Archives: Consolidated Audit Trail

Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members

FINRA is hosting a call and WebEx presentation related to the Consolidated Audit Trail on Wednesday, September 27, 2017, at 4:15 p.m. The purpose of the call is to help … Continue reading Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members →

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 … Continue reading SEC Request for Comment: Consolidated Audit Trail →

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