Federal Register: SEC Requests Comments on FINRA CAT Plan Compliance Proposal

The SEC requested comments on a FINRA proposal to adopt the FINRA Rule 6800 Series. The FINRA Rule 6800 Series sets forth the compliance rules that require FINRA members to adhere to the provisions of the National Market System Plan Governing the Consolidated Audit Trail. The request for comments was published in the Federal Register.

Comments on the proposed rule series must be submitted by March 2, 2017.