Receive our daily newsletter

FINRA Reminds Firms to Register for Consolidated Audit Trail Reporting

FINRA reminded member firms to register with FINRA CAT, LLC for Consolidated Audit Trail ("CAT") reporting by June 27, 2019. CAT registration began on March 18, 2019.

FINRA stated that all industry members with a CAT reporting obligation, as stipulated under the CAT National Market System Plan, are mandated to register by June 27, 2019.

Premium Content

Available only to Cabinet Premium subscribers.

 

Tags

Related Searches: 
Regulated Entities: 
Body of Law: 
Jurisdiction: 
Organization: