June 28, 2019 FINRA Proposes Technical Changes to CAT Plan and Reporting Requirements FINRA proposed non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers"). Primary Sources SR-2019-018: Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules Premium Content Available only to Premium subscribers. FINRA Rule 6800: CONSOLIDATED AUDIT TRAIL COMPLIANCE RULESEC Reg NMS--Rule 242.613: Consolidated audit trail. Tags Regulated Activities Account Statements Trade Reporting Sub-Activity CAT Regulated Entities Broker-Dealers Regulated Products Equities Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / SEC Exchanges / SIPC / Accountants Sub-Author FINRA
Regulated Activities Account Statements Trade Reporting Sub-Activity CAT Regulated Entities Broker-Dealers Regulated Products Equities Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / SEC Exchanges / SIPC / Accountants Sub-Author FINRA